James, Alun Richard
SFC licenses
Rep=Representative, RO=Responsible Officer. A person without a starting date was in that role since at least 1-Apr-2003 when the current register began.
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| Organisation | Role | Activity | From | Until | |
|---|---|---|---|---|---|
| 1 | UBS SECURITIES ASIA LIMITED | Rep | Dealing in securities | 2013-09-09 | 2022-05-20 | Rep | Dealing in futures contracts | 2017-12-18 | 2022-05-20 | Rep | Dealing in futures contracts | 2023-04-14 | 2023-04-21 | Rep | Dealing in securities | 2023-04-14 | 2023-04-21 | Rep | Dealing in futures contracts | 2023-10-20 | 2023-10-27 | Rep | Dealing in securities | 2023-10-20 | 2023-10-27 |
| 2 | UBS SECURITIES HONG KONG LIMITED | Rep | Dealing in futures contracts | 2017-12-18 | 2022-05-20 | Rep | Dealing in securities | 2017-12-18 | 2022-05-20 |
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