Personnel Hong Kong SFC License Details (ID 99886)

Personnel Hong Kong SFC License Details (ID 99886)

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
Sigma Capital Management Limited	RO	Advising on securities	2018-10-15	2022-01-15
	RO	Dealing in securities	2012-06-27	2022-01-15
	RO	Asset management	2008-03-12	2022-01-15
InnoFusion Capital Management Limited	RO	Asset management	2007-08-16	2007-10-31
UBS SECURITIES ASIA LIMITED	Rep	Dealing in futures contracts	2005-05-20	2007-04-28
	Rep	Dealing in securities	2005-05-20	2007-04-28
UBS DERIVATIVES HONG KONG LIMITED	RO	Advising on futures contracts	-	2005-02-07
	RO	Asset management	-	2005-02-07
	RO	Dealing in futures contracts	-	2007-04-28
UBS SECURITIES ASIA LIMITED	RO	Advising on corporate finance	-	2005-02-04
	RO	Advising on futures contracts	-	2005-02-04
	RO	Asset management	-	2005-02-04
	RO	Advising on securities	-	2005-02-07
	RO	Dealing in futures contracts	-	2005-05-20
	RO	Dealing in securities	-	2005-05-20
UBS SECURITIES HONG KONG LIMITED	RO	Advising on corporate finance	-	2005-02-07
	RO	Advising on securities	-	2005-02-07
	RO	Asset management	-	2005-02-07
	RO	Dealing in securities	-	2007-04-28