Personnel SFC Licences and HKMA Registrations (ID 96735)

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	Rep	Dealing in futures contracts	2017-02-16	-
	RO	Dealing in securities	2011-08-31	-
	Rep	Dealing in securities	2009-06-23	2011-08-31
GOLDMAN SACHS (ASIA) L.L.C.	Rep	Dealing in securities	2008-03-04	2009-04-04
UBS SECURITIES ASIA LIMITED	Rep	Advising on corporate finance	2003-04-01	2005-02-04
	Rep	Asset management	2003-04-01	2005-02-04
	Rep	Advising on securities	2003-04-01	2005-03-24
	Rep	Dealing in securities	2003-04-01	2007-12-08

HKMA registrations

HKMA relevant-individual registrations, shown separately from SFC licences. EO means executive officer.

Current registrations only

No HKMA registrations in the collected records.