Wadle, John Allen
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 | M&G Investments (Hong Kong) Limited | Rep | Advising on securities | 2020-08-03 | |
| 2 | M&G Investments (Hong Kong) Limited | Rep | Dealing in securities | 2020-08-03 | |
| 3 | UBS SECURITIES ASIA LIMITED | Rep | Advising on corporate finance | 2005-03-24 | |
| 4 | UBS SECURITIES ASIA LIMITED | Rep | Asset management | 2005-03-24 | |
| 5 | UBS SECURITIES ASIA LIMITED | Rep | Advising on securities | 2009-04-07 | |
| 6 | Mirae Asset Securities (HK) Limited | Rep | Advising on securities | 2009-08-06 | 2011-12-01 |
| 7 | Sculptor Capital Management Hong Kong Limited (b2001-12-28) | Rep | Asset management | 2012-07-16 | 2014-04-14 |
| 8 | BNP PARIBAS SECURITIES (ASIA) LIMITED | Rep | Dealing in futures contracts | 2016-04-20 | 2020-06-05 |
| 9 | BNP PARIBAS SECURITIES (ASIA) LIMITED | Rep | Dealing in securities | 2016-04-20 | 2020-06-05 |
| 10 | BNP PARIBAS SECURITIES (ASIA) LIMITED | Rep | Advising on securities | 2017-12-05 | 2020-06-05 |
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