Personnel SFC Licences and HKMA Registrations (ID 97202)

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
MIZUHO SECURITIES ASIA LIMITED	RO	Advising on securities	2022-06-06	-
	RO	Dealing in securities	2022-06-06	-
	Rep	Advising on securities	2021-11-08	2022-06-06
	Rep	Dealing in securities	2021-10-18	2022-06-06
Credit Suisse (Hong Kong) Limited	Rep	Dealing in futures contracts	2016-12-19	2021-07-16
	Rep	Dealing in securities	2016-12-19	2021-07-16
Credit Suisse Securities (Hong Kong) Limited	Rep	Providing automated trading services	2016-12-19	2021-07-16
	Rep	Dealing in securities	2016-12-19	2021-07-16
DEUTSCHE SECURITIES ASIA LIMITED	Rep	Providing automated trading services	2012-07-09	2013-03-06
	Rep	Advising on securities	2012-07-09	2016-03-22
	Rep	Dealing in futures contracts	2012-07-09	2016-09-07
	Rep	Dealing in securities	2012-07-09	2016-09-07
UBS SECURITIES HONG KONG LIMITED	Rep	Providing automated trading services	2011-11-25	2012-05-05
UBS SECURITIES ASIA LIMITED	Rep	Dealing in futures contracts	2009-09-07	2012-05-05
	Rep	Dealing in securities	2009-09-07	2012-05-05
UBS SECURITIES HONG KONG LIMITED	Rep	Dealing in securities	2009-09-07	2012-05-05

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.