Strachan, David Lyall
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 | J.P. MORGAN BROKING (HONG KONG) LIMITED | Rep | Advising on futures contracts | 2003-12-06 | 2004-04-16 | Rep | Dealing in futures contracts | 2003-12-06 | 2004-04-16 | RO | Advising on futures contracts | 2004-04-16 | 2013-01-29 | RO | Dealing in futures contracts | 2004-04-16 | 2013-01-29 | RO | Advising on securities | 2004-12-15 | 2005-06-21 | RO | Dealing in securities | 2004-12-15 | 2005-06-21 |
| 2 | J.P. MORGAN FUTURES HONG KONG LIMITED | Rep | Asset management | 2003-12-04 | Rep | Automated trading services | 2003-12-04 | Rep | Advising on futures contracts | 2003-12-06 | Rep | Dealing in futures contracts | 2003-12-06 |
| 3 | UBS DERIVATIVES HONG KONG LIMITED | Rep | Dealing in futures contracts | 2013-10-15 | 2016-12-18 |
| 4 | UBS SECURITIES ASIA LIMITED | Rep | Dealing in futures contracts | 2013-10-15 | 2018-09-08 | Rep | Dealing in securities | 2013-10-15 | 2018-09-08 |
| 5 | UBS SECURITIES HONG KONG LIMITED | Rep | Dealing in futures contracts | 2016-12-19 | 2018-09-08 |
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