Walters, Andrew James (SFC:AOT505)
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 | BEAR STEARNS ASIA LIMITED | Rep | Dealing in securities | 2007-04-02 | 2009-04-29 |
| 2 | BNP PARIBAS FUTURES (HONG KONG) LIMITED | Rep | Dealing in futures contracts | 2010-07-28 | 2011-12-30 |
| 3 | BNP PARIBAS SECURITIES (ASIA) LIMITED | Rep | Dealing in securities | 2009-07-02 | 2014-03-31 | Rep | Automated trading services | 2009-11-26 | 2014-03-31 | Rep | Dealing in futures contracts | 2011-09-15 | 2014-03-31 |
| 4 | CLSA LIMITED | Rep | Dealing in securities | 2014-06-26 | 2018-01-03 |
| 5 | J.P. MORGAN BROKING (HONG KONG) LIMITED | Rep | Dealing in securities | 2008-06-05 | 2009-04-29 | Rep | Advising on futures contracts | 2008-06-24 | 2009-04-29 | Rep | Advising on securities | 2008-06-24 | 2009-04-29 | Rep | Dealing in futures contracts | 2008-06-24 | 2009-04-29 |
| 6 | UBS SECURITIES ASIA LIMITED | Rep | Dealing in futures contracts | 2018-05-08 | 2023-04-13 | Rep | Dealing in securities | 2018-05-08 | 2023-04-13 |
| 7 | UBS SECURITIES HONG KONG LIMITED | Rep | Automated trading services | 2018-05-08 | 2023-04-13 | Rep | Dealing in securities | 2018-05-08 | 2023-04-13 |
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