Personnel Hong Kong SFC License Details (ID 96649)

Personnel Hong Kong SFC License Details (ID 96649)

Key Data SFC Licenses Public Disciplinary Actions

SFC licenses

A person without a starting date was in that role since at least 1-Apr-2003, when the current register began.

Show old organisation names

Current only

Organisation	Role	Activity	From	Until
UBS SECURITIES HONG KONG LIMITED	Rep	Dealing in futures contracts	2016-12-19	2019-10-17
	Rep	Dealing in securities	2016-12-19	2019-10-17
UBS DERIVATIVES HONG KONG LIMITED	Rep	Dealing in futures contracts	2010-03-19	2016-12-18
UBS SECURITIES ASIA LIMITED	Rep	Dealing in futures contracts	2010-03-19	2019-10-17
	Rep	Dealing in securities	2010-03-19	2019-10-17
UBS SECURITIES HONG KONG LIMITED	Rep	Dealing in securities	2010-03-19	2016-12-18
Morgan Stanley Hong Kong Futures Limited	Rep	Dealing in futures contracts	2008-08-14	2009-09-14
Morgan Stanley Asia Limited	Rep	Dealing in securities	2008-07-03	2009-09-14
DEUTSCHE SECURITIES ASIA LIMITED	Rep	Dealing in securities	2006-05-08	2008-06-23
Morgan Stanley Asia Limited	Rep	Advising on corporate finance	-	2004-02-11
	Rep	Advising on securities	-	2004-02-11
	Rep	Providing automated trading services	-	2006-03-10
	Rep	Dealing in securities	-	2006-03-10