Licences of SFC licenceholder BBM580 NGUYEN The-Xuan-Dieu

Source: Official SFC record
Key: RE = Representative, RO = Responsible Officer, EO = Executive Officer

Institution Role Licences Start date End date
Merrill Lynch Far East Limited
RE 1, 2 17 September 2019
UBS Securities Hong Kong Limited
UBS Securities Asia Limited
UBS Derivatives Hong Kong Limited
RE 1 29 January 2014 08 March 2014
UBS Securities Asia Limited
RE 1 02 July 2013 08 March 2014