Personnel Hong Kong SFC License Details (ID 96740)

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	Rep	Dealing in futures contracts	2025-11-05	2025-11-07
	Rep	Dealing in securities	2025-11-05	2025-11-07
UBS SECURITIES HONG KONG LIMITED	Rep	Dealing in futures contracts	2025-11-05	2025-11-07
	Rep	Dealing in securities	2025-11-05	2025-11-07
UBS SECURITIES ASIA LIMITED	Rep	Dealing in futures contracts	2025-05-23	2025-05-30
	Rep	Dealing in securities	2025-05-23	2025-05-30
UBS SECURITIES HONG KONG LIMITED	Rep	Dealing in futures contracts	2025-05-23	2025-05-30
	Rep	Dealing in securities	2025-05-23	2025-05-30
UBS SECURITIES ASIA LIMITED	Rep	Dealing in futures contracts	2025-01-14	2025-01-17
	Rep	Dealing in securities	2025-01-14	2025-01-17
UBS SECURITIES HONG KONG LIMITED	Rep	Dealing in futures contracts	2025-01-14	2025-01-17
	Rep	Dealing in securities	2025-01-14	2025-01-17
UBS SECURITIES ASIA LIMITED	Rep	Dealing in futures contracts	2024-09-10	2024-09-13
	Rep	Dealing in securities	2024-09-10	2024-09-13
UBS SECURITIES HONG KONG LIMITED	Rep	Dealing in futures contracts	2024-09-10	2024-09-13
	Rep	Dealing in securities	2024-09-10	2024-09-13
UBS SECURITIES ASIA LIMITED	Rep	Dealing in futures contracts	2024-05-24	2024-05-31
	Rep	Dealing in securities	2024-05-24	2024-05-31
UBS SECURITIES HONG KONG LIMITED	Rep	Dealing in futures contracts	2024-05-24	2024-05-31
	Rep	Dealing in securities	2024-05-24	2024-05-31
UBS SECURITIES ASIA LIMITED	Rep	Dealing in futures contracts	2023-06-23	2023-06-26
	Rep	Dealing in securities	2023-06-23	2023-06-26
UBS SECURITIES HONG KONG LIMITED	Rep	Dealing in futures contracts	2023-06-23	2023-06-26
	Rep	Dealing in securities	2023-06-23	2023-06-26
UBS SECURITIES ASIA LIMITED	Rep	Dealing in futures contracts	2023-03-03	2023-03-09
	Rep	Dealing in securities	2023-03-03	2023-03-09
UBS SECURITIES HONG KONG LIMITED	Rep	Dealing in futures contracts	2023-03-03	2023-03-09
	Rep	Dealing in securities	2023-03-03	2023-03-09
UBS SECURITIES ASIA LIMITED	Rep	Dealing in securities	2018-04-27	2021-04-09
UBS SECURITIES HONG KONG LIMITED	Rep	Providing automated trading services	2018-04-27	2021-04-09
	Rep	Dealing in securities	2018-04-27	2021-04-09
	RO	Providing automated trading services	2016-12-19	2018-04-27
	RO	Dealing in securities	2016-12-19	2018-04-27
	RO	Providing automated trading services	2013-01-08	2016-12-18
	Rep	Providing automated trading services	2011-10-14	2013-01-08
UBS SECURITIES ASIA LIMITED	RO	Dealing in securities	2010-09-06	2018-04-27
UBS SECURITIES HONG KONG LIMITED	RO	Dealing in securities	2010-06-28	2016-12-18
	Rep	Dealing in securities	2006-12-14	2010-06-28
UBS SECURITIES ASIA LIMITED	Rep	Dealing in futures contracts	2005-11-04	2021-04-09
	Rep	Dealing in securities	2004-06-02	2010-09-06
	Rep	Advising on corporate finance	-	2004-05-13
	Rep	Asset management	-	2004-05-13
	Rep	Advising on securities	-	2004-06-02