SFC Licences of JAMES Alun Richard
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 | 20 October 2023 | 27 October 2023 |
UBS Securities Asia Limited | RE | 1 | 20 October 2023 | 27 October 2023 |
UBS Securities Asia Limited | RE | 2 | 14 April 2023 | 21 April 2023 |
UBS Securities Asia Limited | RE | 1 | 14 April 2023 | 21 April 2023 |
UBS Securities Hong Kong Limited | RE | 2 | 18 December 2017 | 20 May 2022 |
UBS Securities Hong Kong Limited | RE | 1 | 18 December 2017 | 20 May 2022 |
UBS Securities Asia Limited | RE | 2 | 18 December 2017 | 20 May 2022 |
UBS Securities Asia Limited | RE | 1 | 09 September 2013 | 20 May 2022 |