Lock, Timothy James
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 DERIVATIVES HONG KONG LIMITED | Rep | Dealing in futures contracts | 2011-07-18 | 2016-12-18 |
| 2 | UBS SECURITIES ASIA LIMITED | Rep | Dealing in futures contracts | 2011-07-18 | 2022-05-31 | Rep | Dealing in securities | 2011-07-18 | 2022-05-31 | Rep | Dealing in futures contracts | 2023-05-29 | 2023-06-02 | Rep | Dealing in securities | 2023-05-29 | 2023-06-02 | Rep | Dealing in futures contracts | 2023-10-24 | 2023-10-27 | Rep | Dealing in securities | 2023-10-24 | 2023-10-27 | Rep | Dealing in futures contracts | 2024-01-09 | 2024-01-12 | Rep | Dealing in securities | 2024-01-09 | 2024-01-12 |
| 3 | UBS SECURITIES HONG KONG LIMITED | Rep | Dealing in securities | 2011-07-18 | 2016-12-18 | Rep | Dealing in futures contracts | 2016-12-19 | 2022-05-31 | Rep | Dealing in securities | 2016-12-19 | 2022-05-31 | Rep | Dealing in futures contracts | 2023-05-29 | 2023-06-02 | Rep | Dealing in securities | 2023-05-29 | 2023-06-02 | Rep | Dealing in futures contracts | 2023-10-24 | 2023-10-27 | Rep | Dealing in securities | 2023-10-24 | 2023-10-27 | Rep | Dealing in futures contracts | 2024-01-09 | 2024-01-12 | Rep | Dealing in securities | 2024-01-09 | 2024-01-12 |
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