Personnel Hong Kong SFC License Details (ID 96684)

Personnel Hong Kong SFC License Details (ID 96684)

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	2005-06-09	2016-07-25
UBS SECURITIES ASIA LIMITED	Rep	Advising on securities	2005-06-09	2016-07-25
	Rep	Dealing in futures contracts	2005-06-09	2016-07-25
	Rep	Dealing in securities	2005-06-09	2016-07-25
	RO	Advising on securities	2004-10-05	2005-06-09
UBS DERIVATIVES HONG KONG LIMITED	RO	Dealing in futures contracts	2003-09-15	2005-06-09
UBS SECURITIES ASIA LIMITED	RO	Dealing in futures contracts	2003-09-15	2005-06-09
	RO	Dealing in securities	2003-09-15	2005-06-09
	Rep	Advising on corporate finance	-	2003-06-11
	Rep	Advising on futures contracts	-	2003-06-11
	Rep	Advising on securities	-	2003-06-11
	Rep	Asset management	-	2003-06-11
	Rep	Dealing in futures contracts	-	2003-09-15
	Rep	Dealing in securities	-	2003-09-15