Personnel Hong Kong SFC License Details (ID 96895)

Personnel Hong Kong SFC License Details (ID 96895)

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 securities	2024-01-30	-
	Rep	Dealing in securities	2024-01-30	-
UBS SECURITIES HONG KONG LIMITED	Rep	Dealing in securities	2016-12-19	2018-05-16
UBS SECURITIES ASIA LIMITED	Rep	Dealing in futures contracts	2009-08-10	2018-05-16
UBS SECURITIES HONG KONG LIMITED	Rep	Dealing in securities	2009-08-10	2016-12-18
UBS SECURITIES ASIA LIMITED	Rep	Dealing in securities	2009-07-07	2018-05-16
CGS International Securities Hong Kong Limited	Rep	Dealing in securities	2009-05-29	2009-06-08
GOLDMAN SACHS (ASIA) L.L.C.	Rep	Dealing in securities	2005-11-30	2009-02-27
DEUTSCHE SECURITIES ASIA LIMITED	Rep	Dealing in securities	2004-10-19	2005-10-10