Personnel Hong Kong SFC License Details (ID 97107)

Personnel Hong Kong SFC License Details (ID 97107)

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 ASIA LIMITED	Rep	Dealing in securities	2017-08-24	2021-04-09
UBS SECURITIES HONG KONG LIMITED	Rep	Providing automated trading services	2017-08-24	2021-04-09
	Rep	Dealing in securities	2017-08-24	2021-04-09
	RO	Providing automated trading services	2016-12-19	2017-06-10
	Rep	Dealing in securities	2016-12-19	2017-06-10
	RO	Providing automated trading services	2013-08-22	2016-12-18
	Rep	Providing automated trading services	2011-10-13	2013-08-22
UBS SECURITIES ASIA LIMITED	Rep	Dealing in securities	2009-09-07	2017-06-10
UBS SECURITIES HONG KONG LIMITED	Rep	Dealing in securities	2009-09-07	2016-12-18