Personnel Hong Kong SFC License Details (ID 96732)

Personnel Hong Kong SFC License Details (ID 96732)

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	RO	Dealing in futures contracts	2011-08-31	2013-04-06
	RO	Dealing in securities	2011-08-31	2013-04-06
	Rep	Dealing in futures contracts	2010-11-01	2011-08-31
	Rep	Dealing in securities	2010-11-01	2011-08-31
Morgan Stanley Hong Kong Securities Limited	Rep	Dealing in securities	2010-04-14	2010-08-23
Morgan Stanley Asia Limited	Rep	Advising on futures contracts	2006-10-12	2010-08-23
	Rep	Advising on securities	2006-10-12	2010-08-23
	Rep	Providing automated trading services	2006-06-12	2010-08-23
	Rep	Dealing in securities	2006-06-12	2010-08-23
Morgan Stanley Hong Kong Futures Limited	Rep	Providing automated trading services	2006-06-12	2010-08-23
	Rep	Dealing in futures contracts	2006-06-12	2010-08-23
CLSA FUTURES LIMITED	Rep	Advising on futures contracts	-	2004-03-18
	Rep	Asset management	-	2004-03-18
	Rep	Dealing in futures contracts	-	2004-06-17
CLSA LIMITED	Rep	Advising on corporate finance	-	2004-03-18
	Rep	Advising on securities	-	2004-03-18
	Rep	Asset management	-	2004-03-18
	Rep	Dealing in securities	-	2004-06-17