Personnel SFC Licences and HKMA Registrations (ID 96653)

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
Citadel Securities (Hong Kong) Limited	RO	Dealing in futures contracts	2025-12-30	-
	RO	Dealing in securities	2025-12-30	-
	Rep	Dealing in futures contracts	2025-10-30	2025-12-30
	Rep	Dealing in securities	2025-10-30	2025-12-30
UBS SECURITIES HONG KONG LIMITED	Rep	Dealing in futures contracts	2016-12-19	2025-06-03
	Rep	Dealing in securities	2016-12-19	2025-06-03
UBS DERIVATIVES HONG KONG LIMITED	Rep	Dealing in futures contracts	2011-05-03	2016-12-18
UBS SECURITIES ASIA LIMITED	Rep	Dealing in futures contracts	2011-05-03	2025-06-03
	Rep	Dealing in securities	2011-05-03	2025-06-03
UBS SECURITIES HONG KONG LIMITED	Rep	Dealing in securities	2011-05-03	2016-12-18

HKMA registrations

HKMA relevant-individual registrations, shown separately from SFC licences. EO means executive officer.

Current registrations only

No HKMA registrations in the collected records.