Personnel SFC Licences and HKMA Registrations (ID 97130)

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
dLab Asset Management Limited	RO	Advising on securities	2021-05-26	-
	RO	Asset management	2021-05-26	-
	Rep	Advising on securities	2021-04-20	2021-05-26
HBS (Hong Kong) Limited	RO	Advising on securities	2020-12-17	2021-03-18
	RO	Dealing in securities	2020-12-17	2021-03-18
UBS SECURITIES ASIA LIMITED	RO	Dealing in futures contracts	2018-05-18	2018-06-29
	RO	Dealing in securities	2018-05-18	2018-06-29
	Rep	Dealing in futures contracts	2017-06-01	2018-05-18
	Rep	Dealing in securities	2017-06-01	2018-05-18
	Rep	Dealing in futures contracts	2017-04-21	2017-04-28
	Rep	Dealing in securities	2017-04-21	2017-04-28
	Rep	Dealing in futures contracts	2017-02-13	2017-02-17
	Rep	Dealing in securities	2017-02-13	2017-02-17
	Rep	Dealing in futures contracts	2017-01-10	2017-01-13
	Rep	Dealing in securities	2017-01-10	2017-01-13
	Rep	Dealing in futures contracts	2016-11-21	2016-11-26
	Rep	Dealing in securities	2016-11-21	2016-11-26
	Rep	Dealing in futures contracts	2016-09-14	2016-09-24
	Rep	Dealing in securities	2016-09-14	2016-09-24
	Rep	Dealing in futures contracts	2011-06-01	2016-05-20
	Rep	Dealing in securities	2011-06-01	2016-05-20

HKMA registrations

HKMA relevant-individual registrations, shown separately from SFC licences. EO means executive officer.

Current registrations only

No HKMA registrations in the collected records.