Personnel Hong Kong SFC License Details (ID 96668)

Personnel Hong Kong SFC License Details (ID 96668)

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	Providing automated trading services	2016-12-19	2019-01-28
	Rep	Dealing in futures contracts	2016-12-19	2019-01-28
	Rep	Dealing in securities	2016-12-19	2019-01-28
	Rep	Providing automated trading services	2014-02-11	2016-12-18
UBS DERIVATIVES HONG KONG LIMITED	Rep	Dealing in futures contracts	2009-07-20	2016-12-18
UBS SECURITIES ASIA LIMITED	Rep	Dealing in futures contracts	2009-07-20	2019-01-28
	Rep	Dealing in securities	2009-07-20	2019-01-28
UBS SECURITIES HONG KONG LIMITED	Rep	Dealing in securities	2009-07-20	2016-12-18