Personnel SFC Licences and HKMA Registrations (ID 96970)

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
Crosby Securities Limited	Rep	Advising on securities	2019-08-16	-
	Rep	Asset management	2019-08-16	-
	Rep	Dealing in securities	2019-08-16	-
Credit Suisse (Hong Kong) Limited	Rep	Advising on securities	2014-04-01	2017-11-07
Credit Suisse Securities (Hong Kong) Limited	Rep	Providing automated trading services	2013-09-04	2017-11-07
Credit Suisse (Hong Kong) Limited	Rep	Providing automated trading services	2012-07-16	2013-11-01
	Rep	Dealing in futures contracts	2012-07-16	2017-11-07
	Rep	Dealing in securities	2012-07-16	2017-11-07
Credit Suisse Securities (Hong Kong) Limited	Rep	Dealing in securities	2012-07-16	2017-11-07
UBS SECURITIES HONG KONG LIMITED	Rep	Providing automated trading services	2011-11-25	2012-03-27
UBS SECURITIES ASIA LIMITED	Rep	Dealing in futures contracts	2007-11-23	2012-03-27
	Rep	Dealing in securities	2007-11-23	2012-03-27
UBS SECURITIES HONG KONG LIMITED	Rep	Dealing in securities	2007-11-23	2012-03-27

HKMA registrations

HKMA relevant-individual registrations, shown separately from SFC licences. EO means executive officer.

HKMA records could not be loaded. Please try again later.