Personnel Hong Kong SFC License Details (ID 96828)

Personnel Hong Kong SFC License Details (ID 96828)

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
QL Asset Management Company Limited	Rep	Advising on securities	2020-12-15	-
	Rep	Dealing in securities	2020-12-15	-
	RO	Advising on securities	2020-01-13	2020-12-15
	RO	Dealing in securities	2020-01-13	2020-12-15
	Rep	Advising on securities	2019-07-25	2020-01-13
	Rep	Dealing in securities	2019-06-17	2020-01-13
UBS SECURITIES ASIA LIMITED	Rep	Advising on corporate finance	2003-04-01	2005-03-24
	Rep	Advising on securities	2003-04-01	2005-03-24
	Rep	Asset management	2003-04-01	2005-03-24
	Rep	Dealing in securities	2003-04-01	2018-12-29