Albert Ming
明耀文
This page summarises the Hong Kong Securities and Futures Commission (SFC) public register record for Albert Ming (明耀文), a licensed former licensee with CE reference AMU061. Total licence records on file: 11.
Licence history
| Firm | Role | Regulated activity | From | To |
|---|---|---|---|---|
| Core Securities Company Limited (The) 核聚證券有限公司 |
RO | Type 1 — Dealing in securities | 2018-03-05 | 2019-07-22 |
| Core Securities Company Limited (The) 核聚證券有限公司 |
RO | Type 4 — Advising on securities | 2018-03-05 | 2019-07-22 |
| Core Securities Company Limited (The) 核聚證券有限公司 |
RO | Type 9 — Asset management | 2018-03-05 | 2019-07-22 |
| UBS Asset Management (Hong Kong) Limited | RO | Type 1 — Dealing in securities | 2014-03-05 | 2016-08-16 |
| UBS Asset Management (Hong Kong) Limited | RO | Type 4 — Advising on securities | 2014-03-05 | 2016-08-16 |
| UBS Asset Management (Hong Kong) Limited | RO | Type 9 — Asset management | 2014-03-05 | 2016-08-16 |
| UBS Asset Management (Hong Kong) Limited | Rep | Type 1 — Dealing in securities | 2013-08-07 | 2014-03-05 |
| UBS Asset Management (Hong Kong) Limited | Rep | Type 4 — Advising on securities | 2013-08-07 | 2014-03-05 |
| UBS Asset Management (Hong Kong) Limited | Rep | Type 9 — Asset management | 2013-08-07 | 2014-03-05 |
| Merrill Lynch (Asia Pacific) Limited | Rep | Type 1 — Dealing in securities | 2005-11-29 | 2008-08-02 |
| Merrill Lynch Futures (Hong Kong) Limited | Rep | Type 2 — Dealing in futures contracts | 2005-11-29 | 2008-08-02 |