Personnel Hong Kong SFC License Details (ID 97147)

Personnel Hong Kong SFC License Details (ID 97147)

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
GUOTAI JUNAN SECURITIES (HONG KONG) LIMITED	Rep	Advising on securities	2019-07-10	2022-03-31
	Rep	Dealing in securities	2019-07-10	2022-03-31
UBS SECURITIES HONG KONG LIMITED	Rep	Dealing in futures contracts	2016-12-19	2017-09-09
	Rep	Dealing in securities	2016-12-19	2017-09-09
UBS DERIVATIVES HONG KONG LIMITED	Rep	Dealing in futures contracts	2016-07-07	2016-12-18
UBS SECURITIES ASIA LIMITED	Rep	Dealing in futures contracts	2016-07-07	2017-09-09
UBS SECURITIES HONG KONG LIMITED	Rep	Dealing in securities	2016-07-07	2016-12-18
UBS SECURITIES ASIA LIMITED	Rep	Dealing in securities	2011-07-13	2017-09-09