Personnel Hong Kong SFC License Details (ID 96745)

Personnel Hong Kong SFC License Details (ID 96745)

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	2021-06-23	-
	Rep	Dealing in securities	2021-06-23	-
UBS SECURITIES HONG KONG LIMITED	Rep	Dealing in futures contracts	2021-06-23	-
	Rep	Dealing in securities	2021-06-23	-
UBS SECURITIES ASIA LIMITED	Rep	Dealing in futures contracts	2019-11-07	2019-11-16
	Rep	Dealing in securities	2019-11-07	2019-11-16
	Rep	Dealing in futures contracts	2017-06-05	2017-06-19
	Rep	Dealing in securities	2017-06-05	2017-06-19
	Rep	Dealing in futures contracts	2016-07-14	2016-07-29
	Rep	Dealing in securities	2016-07-14	2016-07-29
	Rep	Dealing in futures contracts	2015-09-18	2015-10-10
	Rep	Dealing in securities	2015-09-18	2015-10-10
	Rep	Dealing in securities	2009-02-25	2015-03-10
UBS SECURITIES HONG KONG LIMITED	Rep	Dealing in securities	2009-02-25	2015-03-10