Personnel Hong Kong SFC License Details (ID 96678)

Personnel Hong Kong SFC License Details (ID 96678)

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 DERIVATIVES HONG KONG LIMITED	Rep	Dealing in futures contracts	2006-10-02	2012-02-07
UBS SECURITIES ASIA LIMITED	Rep	Dealing in futures contracts	2006-10-02	2012-02-07
	Rep	Dealing in securities	2006-10-02	2012-02-07
UBS SECURITIES HONG KONG LIMITED	Rep	Dealing in securities	2006-10-02	2012-02-06
Credit Agricole Securities (Asia) Limited	RO	Asset management	-	2004-09-24
	RO	Dealing in securities	-	2006-09-30
RBS Asia Futures Limited	RO	Advising on futures contracts	-	2004-09-24
	RO	Asset management	-	2004-09-24
	RO	Dealing in futures contracts	-	2006-09-30
RBS Asia Securities (Hong Kong) Limited	RO	Asset management	-	2004-09-24
	RO	Dealing in securities	-	2005-02-08