SFC Licences of CONLEY Richard Adrian
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 | 09 June 2017 | 16 June 2017 |
| UBS Securities Asia Limited | RE | 1 | 09 June 2017 | 16 June 2017 |
| UBS Securities Hong Kong Limited | RE | 7 | 19 December 2016 | 01 March 2017 |
| UBS Securities Hong Kong Limited | RE | 2 | 19 December 2016 | 01 March 2017 |
| UBS Securities Hong Kong Limited | RE | 1 | 19 December 2016 | 01 March 2017 |
| UBS Securities Asia Limited | RE | 2 | 11 November 2011 | 01 March 2017 |
| UBS Securities Asia Limited | RE | 1 | 11 November 2011 | 01 March 2017 |
| UBS Derivatives Hong Kong Limited | RE | 2 | 11 November 2011 | 18 December 2016 |
| UBS Securities Hong Kong Limited | RE | 7 | 11 November 2011 | 18 December 2016 |
| UBS Securities Hong Kong Limited | RE | 1 | 11 November 2011 | 18 December 2016 |
| Goldman Sachs (Asia) L.L.C. 高盛(亞洲)有限責任公司 | RE | 1 | 17 March 2008 | 11 December 2008 |
| Goldman Sachs Futures (Asia) Limited 高盛期貨(亞洲)有限公司 | RE | 2 | 17 March 2008 | 11 December 2008 |