Personnel Hong Kong SFC License Details (ID 97138)

Personnel Hong Kong SFC License Details (ID 97138)

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	Rep	Advising on securities	2021-09-03	2023-04-28
	Rep	Dealing in securities	2021-09-03	2023-04-28
	Rep	Advising on futures contracts	2019-10-02	2023-04-28
	Rep	Dealing in futures contracts	2019-10-02	2023-04-28
UBS SECURITIES HONG KONG LIMITED	Rep	Providing automated trading services	2016-12-19	2019-07-03
	Rep	Dealing in securities	2016-12-19	2019-07-03
	Rep	Providing automated trading services	2011-11-25	2016-12-18
UBS SECURITIES ASIA LIMITED	Rep	Dealing in futures contracts	2009-08-10	2019-07-03
	Rep	Dealing in securities	2009-08-03	2019-07-03
UBS SECURITIES HONG KONG LIMITED	Rep	Dealing in securities	2009-08-03	2016-12-18
MACQUARIE CAPITAL LIMITED	Rep	Dealing in securities	2007-03-26	2009-06-23
CHINA INTERNATIONAL CAPITAL CORPORATION HONG KONG SECURITIES LIMITED	Rep	Dealing in securities	2005-01-10	2007-03-16
MIB FUTURES (HONG KONG) LIMITED	Rep	Dealing in futures contracts	2004-01-28	2004-09-20
MIB SECURITIES (HONG KONG) LIMITED	Rep	Dealing in securities	2004-01-28	2004-09-20