Personnel Hong Kong SFC License Details (ID 97022)

Personnel Hong Kong SFC License Details (ID 97022)

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 HONG KONG LIMITED	Rep	Dealing in futures contracts	2016-12-19	-
	Rep	Dealing in securities	2016-12-19	-
UBS DERIVATIVES HONG KONG LIMITED	Rep	Dealing in futures contracts	2014-03-05	2016-12-18
UBS SECURITIES ASIA LIMITED	Rep	Dealing in futures contracts	2013-09-16	-
	Rep	Dealing in securities	2013-09-16	-
UBS SECURITIES HONG KONG LIMITED	Rep	Dealing in securities	2013-09-16	2016-12-18
UBS SECURITIES ASIA LIMITED	Rep	Dealing in futures contracts	2011-07-29	2011-09-09
	Rep	Dealing in securities	2011-07-29	2011-09-09
UBS SECURITIES HONG KONG LIMITED	Rep	Dealing in securities	2011-07-29	2011-09-09