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	13 April 2023
UBS Securities Hong Kong Limited	RE	1	08 May 2018	13 April 2023
UBS Securities Asia Limited	RE	2	08 May 2018	13 April 2023
UBS Securities Asia Limited	RE	1	08 May 2018	13 April 2023
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 Futures (Hong Kong) Limited 法國巴黎期貨(香港)有限公司	RE	2	28 July 2010	30 December 2011
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
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