Personnel Hong Kong SFC License Details (ID 96774)

Personnel Hong Kong SFC License Details (ID 96774)

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 Asset Management (Hong Kong) Limited	RO	Dealing in futures contracts	2012-09-12	2020-01-21
	RO	Asset management	2012-09-12	2026-03-31
	RO	Dealing in securities	2012-09-12	2026-03-31
	Rep	Asset management	2012-03-29	2012-09-12
	Rep	Advising on securities	2012-03-29	2013-07-15
UBS SECURITIES HONG KONG LIMITED	Rep	Dealing in securities	2006-01-06	2012-03-29
	RO	Dealing in securities	2005-04-27	2006-01-06
UBS DERIVATIVES HONG KONG LIMITED	Rep	Advising on futures contracts	-	2005-02-07
	Rep	Asset management	-	2005-02-07
	Rep	Dealing in futures contracts	-	2005-03-24
UBS SECURITIES ASIA LIMITED	Rep	Advising on futures contracts	-	2005-02-04
	Rep	Asset management	-	2005-02-04
	Rep	Advising on corporate finance	-	2005-03-24
	Rep	Advising on securities	-	2005-03-24
	Rep	Dealing in futures contracts	-	2012-03-29
	Rep	Dealing in securities	-	2012-03-29