Andy Kok Heng Chan
This page summarises the Hong Kong Securities and Futures Commission (SFC) public register record for Andy Kok Heng Chan, a licensed former licensee with CE reference AFC953. This person has 7.9 years of SFC licence history. Total licence records on file: 7.
Information
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Licence history
| Firm | Role | Regulated activity | From | To |
|---|---|---|---|---|
| UBS Securities Asia Limited | RO | Type 1 - Dealing in securities | 2010-05-20 | 2011-02-16 |
| UBS Securities Hong Kong Limited | RO | Type 1 - Dealing in securities | 2005-12-29 | 2011-02-16 |
| UBS Securities Asia Limited | Rep | Type 2 - Dealing in futures contracts | 2005-10-25 | 2011-02-16 |
| UBS Securities Asia Limited | Rep | Type 1 - Dealing in securities | Pre-2003 | 2010-05-20 |
| UBS Securities Asia Limited | Rep | Type 4 - Advising on securities | Pre-2003 | 2005-03-24 |
| UBS Securities Asia Limited | Rep | Type 6 - Advising on corporate finance | Pre-2003 | 2005-02-04 |
| UBS Securities Asia Limited | Rep | Type 9 - Asset management | Pre-2003 | 2005-02-04 |