SFC Licences of LOCK Timothy 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 | 2 | 09 January 2024 | 12 January 2024 |
UBS Securities Hong Kong Limited | RE | 1 | 09 January 2024 | 12 January 2024 |
UBS Securities Asia Limited | RE | 2 | 09 January 2024 | 12 January 2024 |
UBS Securities Asia Limited | RE | 1 | 09 January 2024 | 12 January 2024 |
UBS Securities Hong Kong Limited | RE | 2 | 24 October 2023 | 27 October 2023 |
UBS Securities Hong Kong Limited | RE | 1 | 24 October 2023 | 27 October 2023 |
UBS Securities Asia Limited | RE | 2 | 24 October 2023 | 27 October 2023 |
UBS Securities Asia Limited | RE | 1 | 24 October 2023 | 27 October 2023 |
UBS Securities Hong Kong Limited | RE | 2 | 29 May 2023 | 02 June 2023 |
UBS Securities Hong Kong Limited | RE | 1 | 29 May 2023 | 02 June 2023 |
UBS Securities Asia Limited | RE | 2 | 29 May 2023 | 02 June 2023 |
UBS Securities Asia Limited | RE | 1 | 29 May 2023 | 02 June 2023 |
UBS Securities Hong Kong Limited | RE | 2 | 19 December 2016 | 31 May 2022 |
UBS Securities Hong Kong Limited | RE | 1 | 19 December 2016 | 31 May 2022 |
UBS Securities Asia Limited | RE | 2 | 18 July 2011 | 31 May 2022 |
UBS Securities Asia Limited | RE | 1 | 18 July 2011 | 31 May 2022 |
UBS Securities Hong Kong Limited | RE | 1 | 18 July 2011 | 18 December 2016 |
UBS Derivatives Hong Kong Limited | RE | 2 | 18 July 2011 | 18 December 2016 |