Personnel Hong Kong SFC License Details (ID 97176)

Personnel Hong Kong SFC License Details (ID 97176)

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
Jefferies Hong Kong Limited	Rep	Dealing in securities	2026-01-26	2026-09-10
BNP PARIBAS SECURITIES (ASIA) LIMITED	Rep	Dealing in futures contracts	2022-05-31	2025-12-12
	Rep	Dealing in securities	2022-04-19	2025-12-12
MIZUHO SECURITIES ASIA LIMITED	Rep	Asset management	2019-03-04	2022-02-08
	Rep	Dealing in securities	2019-02-13	2022-02-08
UBS SECURITIES HONG KONG LIMITED	Rep	Providing automated trading services	2016-12-19	2019-01-17
	Rep	Dealing in securities	2016-12-19	2019-01-17
	Rep	Providing automated trading services	2011-10-13	2016-12-18
UBS SECURITIES ASIA LIMITED	Rep	Dealing in securities	2006-12-18	2019-01-17
UBS SECURITIES HONG KONG LIMITED	Rep	Dealing in securities	2006-12-18	2016-12-18