Personnel Hong Kong SFC License Details (ID 96893)

Personnel Hong Kong SFC License Details (ID 96893)

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
KGI ASIA LIMITED	Rep	Dealing in securities	2017-11-23	2022-01-31
STOCKWELL SECURITIES LIMITED	Rep	Dealing in securities	2013-06-04	2017-09-29
UBS SECURITIES ASIA LIMITED	Rep	Advising on corporate finance	-	2005-03-24
	Rep	Advising on securities	-	2005-03-24
	Rep	Asset management	-	2005-03-24
	Rep	Dealing in securities	-	2011-10-18
UBS SECURITIES HONG KONG LIMITED	Rep	Advising on corporate finance	-	2005-03-24
	Rep	Advising on securities	-	2005-03-24
	Rep	Asset management	-	2005-03-24
	Rep	Dealing in securities	-	2011-10-18