Gunther James Roth
This page summarises the Hong Kong Securities and Futures Commission (SFC) public register record for Gunther James Roth ( ), a licensed former licensee with CE reference AHC183. Total licence records on file: 4.
Licence history
| Firm | Role | Regulated activity | From | To |
|---|---|---|---|---|
| Deutsche Securities Asia Limited 德意志證券亞洲有限公司 |
Rep | Type 6 - Advising on corporate finance | 2012-03-29 | 2014-04-01 |
| UBS Securities Asia Limited | Rep | Type 4 - Advising on securities | present | 2003-06-25 |
| UBS Securities Asia Limited | Rep | Type 6 - Advising on corporate finance | present | 2003-06-25 |
| UBS Securities Asia Limited | Rep | Type 9 - Asset management | present | 2003-06-25 |