Personnel SFC Licences and HKMA Registrations (ID 97227)

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
UBS SECURITIES HONG KONG LIMITED	Rep	Providing automated trading services	2016-12-19	-
	Rep	Dealing in securities	2016-12-19	-
UBS SECURITIES ASIA LIMITED	Rep	Dealing in futures contracts	2012-07-13	-
UBS SECURITIES HONG KONG LIMITED	Rep	Providing automated trading services	2011-10-14	2016-12-18
UBS SECURITIES ASIA LIMITED	Rep	Dealing in securities	2011-01-24	-
UBS SECURITIES HONG KONG LIMITED	Rep	Dealing in securities	2011-01-24	2016-12-18

HKMA registrations

HKMA relevant-individual registrations, shown separately from SFC licences. EO means executive officer.

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