Personnel Hong Kong SFC License Details (ID 96816)

Personnel Hong Kong SFC License Details (ID 96816)

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
J.P. MORGAN BROKING (HONG KONG) LIMITED	Rep	Advising on futures contracts	2026-04-28	-
	Rep	Dealing in futures contracts	2026-04-28	-
Credit Suisse (Hong Kong) Limited	Rep	Dealing in securities	2022-10-31	2022-12-01
	Rep	Dealing in securities	2021-02-02	2022-09-20
Macquarie Asia Securities Limited	Rep	Advising on securities	2020-09-30	2020-11-27
	Rep	Dealing in securities	2020-09-30	2020-11-27
UBS DERIVATIVES HONG KONG LIMITED	Rep	Dealing in futures contracts	2011-10-17	2015-11-18
UBS SECURITIES ASIA LIMITED	Rep	Dealing in futures contracts	2011-10-17	2015-11-18
UBS SECURITIES HONG KONG LIMITED	Rep	Dealing in securities	2011-10-17	2015-11-18
UBS SECURITIES ASIA LIMITED	Rep	Dealing in securities	2011-07-21	2015-11-18