Personnel Hong Kong SFC License Details (ID 96672)

Personnel Hong Kong SFC License Details (ID 96672)

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 ASIA LIMITED	Rep	Dealing in futures contracts	2017-11-03	2017-11-13
	Rep	Dealing in securities	2017-11-03	2017-11-13
UBS SECURITIES HONG KONG LIMITED	Rep	Dealing in futures contracts	2017-11-03	2017-11-13
	Rep	Dealing in securities	2017-11-03	2017-11-13
	Rep	Dealing in futures contracts	2016-12-19	2017-03-01
	Rep	Dealing in securities	2016-12-19	2017-03-01
UBS DERIVATIVES HONG KONG LIMITED	Rep	Dealing in futures contracts	2014-09-22	2016-12-18
UBS SECURITIES ASIA LIMITED	Rep	Dealing in futures contracts	2014-09-22	2017-03-01
	Rep	Dealing in securities	2014-09-22	2017-03-01
UBS SECURITIES HONG KONG LIMITED	Rep	Dealing in securities	2014-09-22	2016-12-18
	Rep	Dealing in securities	2010-07-28	2013-06-29
UBS DERIVATIVES HONG KONG LIMITED	Rep	Dealing in futures contracts	2008-04-07	2013-06-29
UBS SECURITIES ASIA LIMITED	Rep	Dealing in futures contracts	2008-04-07	2013-06-29
	Rep	Dealing in securities	2008-04-07	2013-06-29