Personnel Hong Kong SFC License Details (ID 96683)

Personnel Hong Kong SFC License Details (ID 96683)

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
Leading Securities Company Limited	Rep	Advising on securities	2016-05-10	2016-08-29
	Rep	Asset management	2016-05-10	2016-08-29
	Rep	Dealing in securities	2016-05-10	2016-08-29
UBS DERIVATIVES HONG KONG LIMITED	Rep	Dealing in futures contracts	2010-06-28	2013-01-23
UBS SECURITIES ASIA LIMITED	Rep	Dealing in futures contracts	2010-06-28	2013-01-23
	Rep	Dealing in securities	2010-06-28	2013-01-23
UBS SECURITIES HONG KONG LIMITED	Rep	Dealing in securities	2010-06-28	2013-01-23
J.P. MORGAN BROKING (HONG KONG) LIMITED	Rep	Advising on futures contracts	2006-04-03	2008-03-14
	Rep	Advising on securities	2006-04-03	2008-03-14
	Rep	Dealing in futures contracts	2006-04-03	2008-03-14
	Rep	Dealing in securities	2006-04-03	2008-03-14