Personnel Hong Kong SFC License Details (ID 97042)

Personnel Hong Kong SFC License Details (ID 97042)

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	2017-10-03	2022-01-26
	Rep	Dealing in securities	2017-05-22	2017-10-02
RHB SECURITIES HONG KONG LIMITED	Rep	Dealing in securities	2014-07-29	2016-09-09
STOCKWELL SECURITIES LIMITED	Rep	Dealing in securities	2013-03-01	2014-07-18
UBS SECURITIES HONG KONG LIMITED	Rep	Providing automated trading services	2011-12-05	2012-10-25
UBS SECURITIES ASIA LIMITED	Rep	Dealing in securities	2008-06-18	2012-10-25
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	-	2012-10-25