Personnel Hong Kong SFC License Details (ID 97124)

Personnel Hong Kong SFC License Details (ID 97124)

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	RO	Dealing in futures contracts	2020-09-07	2024-03-27
	RO	Dealing in securities	2020-09-07	2024-03-27
UBS SECURITIES HONG KONG LIMITED	RO	Dealing in futures contracts	2020-09-07	2024-03-27
	RO	Dealing in securities	2020-09-07	2024-03-27
	Rep	Dealing in futures contracts	2016-12-19	2020-09-07
	Rep	Dealing in securities	2016-12-19	2020-09-07
UBS DERIVATIVES HONG KONG LIMITED	Rep	Dealing in futures contracts	2013-07-24	2016-12-18
UBS SECURITIES HONG KONG LIMITED	Rep	Dealing in securities	2013-07-24	2016-12-18
UBS SECURITIES ASIA LIMITED	Rep	Dealing in futures contracts	2004-06-15	2020-09-07
	Rep	Dealing in securities	2004-06-15	2020-09-07