Personnel Hong Kong SFC License Details (ID 97186)

Personnel Hong Kong SFC License Details (ID 97186)

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
BlackRock Asset Management North Asia Limited	Rep	Dealing in futures contracts	2020-11-10	2024-12-21
	Rep	Dealing in securities	2020-11-10	2024-12-21
HAITONG INTERNATIONAL FUTURES LIMITED	Rep	Dealing in futures contracts	2020-09-01	2020-09-03
HAITONG INTERNATIONAL SECURITIES COMPANY LIMITED	Rep	Dealing in securities	2020-09-01	2020-09-03
HAITONG INTERNATIONAL FUTURES LIMITED	RO	Dealing in futures contracts	2017-06-16	2020-09-01
HAITONG INTERNATIONAL SECURITIES COMPANY LIMITED	RO	Dealing in securities	2017-06-16	2020-09-01
UBS SECURITIES HONG KONG LIMITED	Rep	Providing automated trading services	2011-11-25	2016-04-08
	Rep	Dealing in securities	2011-11-25	2016-04-08
UBS SECURITIES ASIA LIMITED	Rep	Dealing in futures contracts	2011-04-28	2016-04-08
	Rep	Dealing in securities	2011-04-28	2016-04-08