SFC Licences of WALTERS Andrew James

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

Institution Role Licences Start date End date
UBS Securities Hong Kong Limited RE 7 08 May 2018
UBS Securities Asia Limited RE 2 08 May 2018
UBS Securities Hong Kong Limited RE 1 08 May 2018
UBS Securities Asia Limited RE 1 08 May 2018
CLSA Limited 中信里昂證券有限公司 RE 1 26 June 2014 03 January 2018
BNP Paribas Securities (Asia) Limited 法國巴黎證券(亞洲)有限公司 RE 2 15 September 2011 31 March 2014
BNP Paribas Securities (Asia) Limited 法國巴黎證券(亞洲)有限公司 RE 7 26 November 2009 31 March 2014
BNP Paribas Securities (Asia) Limited 法國巴黎證券(亞洲)有限公司 RE 1 02 July 2009 31 March 2014
BNP Paribas Futures (Hong Kong) Limited 法國巴黎期貨(香港)有限公司 RE 2 28 July 2010 30 December 2011
J.P. Morgan Broking (Hong Kong) Limited RE 5 24 June 2008 29 April 2009
J.P. Morgan Broking (Hong Kong) Limited RE 4 24 June 2008 29 April 2009
J.P. Morgan Broking (Hong Kong) Limited RE 2 24 June 2008 29 April 2009
J.P. Morgan Broking (Hong Kong) Limited RE 1 05 June 2008 29 April 2009
Bear Stearns Asia Limited 貝爾斯登亞洲有限公司 RE 1 02 April 2007 29 April 2009