Personnel Hong Kong SFC License Details (ID 96856)

Personnel Hong Kong SFC License Details (ID 96856)

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 securities	2025-05-22	2025-05-31
	Rep	Dealing in securities	2023-11-16	2023-11-18
UBS SECURITIES HONG KONG LIMITED	Rep	Dealing in securities	2023-11-16	2023-11-18
	Rep	Dealing in futures contracts	2016-12-19	2017-09-01
	Rep	Dealing in securities	2016-12-19	2017-09-01
UBS DERIVATIVES HONG KONG LIMITED	Rep	Dealing in futures contracts	2013-06-27	2016-12-18
UBS SECURITIES ASIA LIMITED	Rep	Dealing in futures contracts	2013-06-27	2017-09-01
UBS SECURITIES HONG KONG LIMITED	Rep	Dealing in securities	2013-06-27	2016-12-18
UBS SECURITIES ASIA LIMITED	Rep	Dealing in securities	2008-02-25	2017-09-01