David Andrew Stead
This page summarises the Hong Kong Securities and Futures Commission (SFC) public register record for David Andrew Stead ( ), a licensed former licensee with CE reference AQT298. Total licence records on file: 14.
Licence history
| Firm | Role | Regulated activity | From | To |
|---|---|---|---|---|
| UBS Securities Asia Limited | Rep | Type 1 - Dealing in securities | 2017-11-03 | 2017-11-13 |
| UBS Securities Hong Kong Limited | Rep | Type 1 - Dealing in securities | 2017-11-03 | 2017-11-13 |
| UBS Securities Asia Limited | Rep | Type 2 - Dealing in futures contracts | 2017-11-03 | 2017-11-13 |
| UBS Securities Hong Kong Limited | Rep | Type 2 - Dealing in futures contracts | 2017-11-03 | 2017-11-13 |
| UBS Securities Hong Kong Limited | Rep | Type 1 - Dealing in securities | 2016-12-19 | 2017-03-01 |
| UBS Securities Hong Kong Limited | Rep | Type 2 - Dealing in futures contracts | 2016-12-19 | 2017-03-01 |
| UBS Securities Asia Limited | Rep | Type 1 - Dealing in securities | 2014-09-22 | 2017-03-01 |
| UBS Securities Hong Kong Limited | Rep | Type 1 - Dealing in securities | 2014-09-22 | 2016-12-18 |
| UBS Securities Asia Limited | Rep | Type 2 - Dealing in futures contracts | 2014-09-22 | 2017-03-01 |
| UBS Derivatives Hong Kong Limited | Rep | Type 2 - Dealing in futures contracts | 2014-09-22 | 2016-12-18 |
| UBS Securities Hong Kong Limited | Rep | Type 1 - Dealing in securities | 2010-07-28 | 2013-06-29 |
| UBS Securities Asia Limited | Rep | Type 1 - Dealing in securities | 2008-04-07 | 2013-06-29 |
| UBS Securities Asia Limited | Rep | Type 2 - Dealing in futures contracts | 2008-04-07 | 2013-06-29 |
| UBS Derivatives Hong Kong Limited | Rep | Type 2 - Dealing in futures contracts | 2008-04-07 | 2013-06-29 |