Personnel Hong Kong SFC License Details (ID 97114)

Personnel Hong Kong SFC License Details (ID 97114)

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
J.P. MORGAN BROKING (HONG KONG) LIMITED	RO	Advising on securities	2014-06-17	2015-11-03
	RO	Dealing in securities	2014-06-17	2015-11-03
J.P. MORGAN SECURITIES (FAR EAST) LIMITED	RO	Advising on securities	2014-06-17	2017-05-11
	RO	Dealing in securities	2014-06-17	2017-05-11
J.P. MORGAN BROKING (HONG KONG) LIMITED	Rep	Advising on securities	2013-08-05	2014-06-17
	Rep	Dealing in securities	2013-08-05	2014-06-17
UBS SECURITIES ASIA LIMITED	Rep	Dealing in securities	2010-07-23	2013-05-03
	Rep	Dealing in securities	2009-03-16	2009-06-16