Personnel Hong Kong SFC License Details (ID 96679)

Personnel Hong Kong SFC License Details (ID 96679)

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	RO	Providing automated trading services	2023-10-13	-
UBS SECURITIES ASIA LIMITED	RO	Dealing in securities	2018-04-30	-
UBS SECURITIES HONG KONG LIMITED	RO	Dealing in futures contracts	2016-12-19	-
	RO	Dealing in securities	2016-12-19	-
UBS DERIVATIVES HONG KONG LIMITED	RO	Dealing in futures contracts	2014-01-07	2016-12-18
UBS SECURITIES ASIA LIMITED	RO	Dealing in futures contracts	2014-01-07	-
UBS SECURITIES HONG KONG LIMITED	RO	Dealing in securities	2014-01-07	2016-12-18
	Rep	Dealing in securities	2013-11-08	2014-01-07
UBS DERIVATIVES HONG KONG LIMITED	Rep	Dealing in futures contracts	2011-05-12	2014-01-07
UBS SECURITIES ASIA LIMITED	Rep	Dealing in futures contracts	2011-05-12	2014-01-07
	Rep	Dealing in securities	2011-05-12	2018-04-30
NOMURA INTERNATIONAL (HONG KONG) LIMITED	RO	Dealing in futures contracts	2009-11-18	2010-12-18
	RO	Dealing in securities	2009-11-18	2010-12-18
	Rep	Dealing in futures contracts	2008-10-10	2009-11-18
	Rep	Dealing in securities	2008-10-10	2009-11-18
LEHMAN BROTHERS ASIA LIMITED	Rep	Dealing in futures contracts	2005-12-09	2008-09-29
	Rep	Dealing in securities	2005-12-09	2008-09-29