Personnel SFC Licences and HKMA Registrations (ID 98366)

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
Yuanta Securities (Hong Kong) Company Limited	Rep	Dealing in futures contracts	2023-07-31	-
	Rep	Dealing in securities	2008-10-27	-
MACQUARIE CAPITAL LIMITED	Rep	Dealing in securities	2008-07-02	2008-10-04
UBS SECURITIES ASIA LIMITED	Rep	Advising on corporate finance	2003-04-01	2005-03-24
	Rep	Advising on securities	2003-04-01	2005-03-24
	Rep	Asset management	2003-04-01	2005-03-24
	Rep	Dealing in securities	2003-04-01	2008-05-07
UBS SECURITIES HONG KONG LIMITED	Rep	Advising on corporate finance	2003-04-01	2005-03-24
	Rep	Advising on securities	2003-04-01	2005-03-24
	Rep	Asset management	2003-04-01	2005-03-24
	Rep	Dealing in securities	2003-04-01	2008-05-07

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.