Personnel Hong Kong SFC License Details (ID 96664)

Personnel Hong Kong SFC License Details (ID 96664)

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
Optimas Capital Limited	RO	Advising on securities	2018-08-27	-
	RO	Dealing in securities	2018-08-27	2023-07-07
	RO	Asset management	2017-05-12	-
	Rep	Asset management	2016-10-13	2017-05-12
Credit Suisse (Hong Kong) Limited	Rep	Advising on securities	2014-04-01	2016-08-06
Credit Suisse Securities (Hong Kong) Limited	Rep	Providing automated trading services	2013-08-22	2016-08-06
Credit Suisse (Hong Kong) Limited	Rep	Providing automated trading services	2013-03-06	2013-11-01
	Rep	Dealing in futures contracts	2013-01-18	2016-08-06
	Rep	Dealing in securities	2013-01-18	2016-08-06
Credit Suisse Securities (Hong Kong) Limited	Rep	Dealing in securities	2013-01-18	2016-08-06
UBS SECURITIES HONG KONG LIMITED	Rep	Providing automated trading services	2011-11-25	2012-11-15
	Rep	Dealing in securities	2009-05-27	2012-11-15
UBS DERIVATIVES HONG KONG LIMITED	Rep	Dealing in futures contracts	2008-07-21	2012-11-15
UBS SECURITIES ASIA LIMITED	Rep	Dealing in futures contracts	2008-07-21	2012-11-15
	Rep	Dealing in securities	2008-07-21	2012-11-15