Stead, David Andrew (SFC:AQT298)
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 | 2008-04-07 | 2013-06-29 | Rep | Dealing in futures contracts | 2014-09-22 | 2016-12-18 |
| 2 | UBS SECURITIES ASIA LIMITED | Rep | Dealing in futures contracts | 2008-04-07 | 2013-06-29 | Rep | Dealing in securities | 2008-04-07 | 2013-06-29 | Rep | Dealing in futures contracts | 2014-09-22 | 2017-03-01 | Rep | Dealing in securities | 2014-09-22 | 2017-03-01 | Rep | Dealing in futures contracts | 2017-11-03 | 2017-11-13 | Rep | Dealing in securities | 2017-11-03 | 2017-11-13 |
| 3 | UBS SECURITIES HONG KONG LIMITED | Rep | Dealing in securities | 2010-07-28 | 2013-06-29 | Rep | Dealing in securities | 2014-09-22 | 2016-12-18 | Rep | Dealing in futures contracts | 2016-12-19 | 2017-03-01 | Rep | Dealing in securities | 2016-12-19 | 2017-03-01 | Rep | Dealing in futures contracts | 2017-11-03 | 2017-11-13 | Rep | Dealing in securities | 2017-11-03 | 2017-11-13 |
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