Personnel Hong Kong SFC License Details (ID 96807)

Personnel Hong Kong SFC License Details (ID 96807)

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
Merrill Lynch (Asia Pacific) Limited	Rep	Dealing in securities	2021-06-09	-
Merrill Lynch Far East Limited	Rep	Dealing in futures contracts	2021-06-09	-
	Rep	Dealing in securities	2021-06-09	-
UBS SECURITIES HONG KONG LIMITED	Rep	Providing automated trading services	2016-12-19	2021-03-01
	Rep	Dealing in futures contracts	2016-12-19	2021-03-01
	Rep	Dealing in securities	2016-12-19	2021-03-01
UBS DERIVATIVES HONG KONG LIMITED	Rep	Dealing in futures contracts	2014-02-05	2016-12-18
UBS SECURITIES HONG KONG LIMITED	Rep	Providing automated trading services	2011-11-25	2016-12-18
UBS SECURITIES ASIA LIMITED	Rep	Dealing in futures contracts	2011-04-06	2021-03-01
	Rep	Dealing in securities	2011-04-06	2021-03-01
UBS SECURITIES HONG KONG LIMITED	Rep	Dealing in securities	2011-04-06	2016-12-18