Personnel Hong Kong SFC License Details (ID 96903)

Personnel Hong Kong SFC License Details (ID 96903)

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
HUATAI FINANCIAL HOLDINGS (HONG KONG) LIMITED	RO	Dealing in futures contracts	2018-08-13	2025-04-26
	RO	Dealing in securities	2018-08-13	2025-04-26
	Rep	Dealing in futures contracts	2017-10-23	2018-08-13
	Rep	Dealing in securities	2017-10-23	2018-08-13
CITIC Securities International Global Markets Limited	Rep	Dealing in futures contracts	2017-06-26	2017-07-17
	Rep	Dealing in securities	2017-06-26	2017-07-17
CITIC Securities Brokerage (HK) Limited	Rep	Dealing in securities	2013-08-29	2017-06-25
CITIC Securities Futures (HK) Limited	Rep	Dealing in futures contracts	2013-08-29	2017-06-25
UBS SECURITIES ASIA LIMITED	Rep	Dealing in securities	2011-06-07	2013-06-01
UBS DERIVATIVES HONG KONG LIMITED	Rep	Dealing in futures contracts	2008-05-14	2008-08-16
UBS SECURITIES ASIA LIMITED	Rep	Dealing in futures contracts	2008-05-14	2008-08-16
	Rep	Dealing in securities	2008-05-14	2008-08-16