Personnel Hong Kong SFC License Details (ID 97105)

Personnel Hong Kong SFC License Details (ID 97105)

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
SCULPTOR CAPITAL MANAGEMENT HONG KONG LIMITED	RO	Asset management	2022-07-25	-
	RO	Dealing in securities	2022-07-25	-
	Rep	Asset management	2021-08-04	2022-07-25
	Rep	Dealing in securities	2021-08-02	2022-07-25
UBS SECURITIES HONG KONG LIMITED	Rep	Dealing in futures contracts	2016-12-19	2021-07-02
	Rep	Dealing in securities	2016-12-19	2021-07-02
UBS DERIVATIVES HONG KONG LIMITED	Rep	Dealing in futures contracts	2014-05-26	2016-12-18
UBS SECURITIES HONG KONG LIMITED	Rep	Dealing in securities	2014-05-26	2016-12-18
UBS SECURITIES ASIA LIMITED	Rep	Dealing in futures contracts	2011-04-11	2021-07-02
	Rep	Dealing in securities	2011-04-11	2021-07-02
Morgan Stanley Asia Limited	Rep	Providing automated trading services	2010-03-10	2011-02-10
	Rep	Dealing in securities	2006-08-16	2011-02-10