Andrew James Walters
This page summarises the Hong Kong Securities and Futures Commission (SFC) public register record for Andrew James Walters ( ), a licensed former licensee with CE reference AOT505. Total licence records on file: 14.
Licence history
| Firm | Role | Regulated activity | From | To |
|---|---|---|---|---|
| UBS Securities Asia Limited | Rep | Type 1 - Dealing in securities | 2018-05-08 | 2023-04-13 |
| UBS Securities Hong Kong Limited | Rep | Type 1 - Dealing in securities | 2018-05-08 | 2023-04-13 |
| UBS Securities Asia Limited | Rep | Type 2 - Dealing in futures contracts | 2018-05-08 | 2023-04-13 |
| UBS Securities Hong Kong Limited | Rep | Type 7 - Providing automated trading services | 2018-05-08 | 2023-04-13 |
| CLSA Limited 中信里昂證券有限公司 |
Rep | Type 1 - Dealing in securities | 2014-06-26 | 2018-01-03 |
| BNP Paribas Securities (Asia) Limited 法國巴黎證券(亞洲)有限公司 |
Rep | Type 2 - Dealing in futures contracts | 2011-09-15 | 2014-03-31 |
| BNP Paribas Futures (Hong Kong) Limited 法國巴黎期貨(香港)有限公司 |
Rep | Type 2 - Dealing in futures contracts | 2010-07-28 | 2011-12-30 |
| BNP Paribas Securities (Asia) Limited 法國巴黎證券(亞洲)有限公司 |
Rep | Type 7 - Providing automated trading services | 2009-11-26 | 2014-03-31 |
| BNP Paribas Securities (Asia) Limited 法國巴黎證券(亞洲)有限公司 |
Rep | Type 1 - Dealing in securities | 2009-07-02 | 2014-03-31 |
| J.P. Morgan Broking (Hong Kong) Limited | Rep | Type 2 - Dealing in futures contracts | 2008-06-24 | 2009-04-29 |
| J.P. Morgan Broking (Hong Kong) Limited | Rep | Type 4 - Advising on securities | 2008-06-24 | 2009-04-29 |
| J.P. Morgan Broking (Hong Kong) Limited | Rep | Type 5 - Advising on futures contracts | 2008-06-24 | 2009-04-29 |
| J.P. Morgan Broking (Hong Kong) Limited | Rep | Type 1 - Dealing in securities | 2008-06-05 | 2009-04-29 |
| Bear Stearns Asia Limited 貝爾斯登亞洲有限公司 |
Rep | Type 1 - Dealing in securities | 2007-04-02 | 2009-04-29 |