SFC Licences of INNERDALE David James
Source:
Official SFC record
Key: RE = Representative, RO = Responsible Officer, EO = Executive Officer
| Institution | Role | Licences | Start date | End date |
|---|---|---|---|---|
| UBS Securities Asia Limited | RE | 2 | 14 July 2023 | |
| UBS Securities Asia Limited | RE | 1 | 14 July 2023 | |
| UBS Securities Hong Kong Limited | RE | 2 | 07 July 2023 | |
| UBS Securities Hong Kong Limited | RE | 1 | 07 July 2023 | |
| UBS Securities Asia Limited | RO | 1 | 30 April 2018 | 14 July 2023 |
| UBS Securities Hong Kong Limited | RO | 2 | 19 December 2016 | 07 July 2023 |
| UBS Securities Hong Kong Limited | RO | 1 | 19 December 2016 | 07 July 2023 |
| UBS AG | 1 | 02 November 2012 | ||
| UBS Securities Asia Limited | RO | 2 | 23 June 2011 | 14 July 2023 |
| UBS Derivatives Hong Kong Limited | RO | 2 | 23 June 2011 | 18 December 2016 |
| UBS Securities Hong Kong Limited | RO | 1 | 23 June 2011 | 18 December 2016 |
| UBS Securities Asia Limited | RE | 1 | 01 March 2005 | 30 April 2018 |
| UBS Securities Asia Limited | RE | 2 | 01 March 2005 | 23 June 2011 |