Derek Emmett Capanna
This page summarises the Hong Kong Securities and Futures Commission (SFC) public register record for Derek Emmett Capanna ( ), a licensed former licensee with CE reference ARJ060. Total licence records on file: 18.
Licence history
| Firm | Role | Regulated activity | From | To |
|---|---|---|---|---|
| UBS Securities Asia Limited | Rep | Type 1 - Dealing in securities | 2025-05-23 | 2025-05-30 |
| UBS Securities Asia Limited | Rep | Type 1 - Dealing in securities | 2025-01-14 | 2025-01-17 |
| UBS Securities Asia Limited | Rep | Type 1 - Dealing in securities | 2024-05-27 | 2024-05-31 |
| UBS Securities Asia Limited | Rep | Type 1 - Dealing in securities | 2023-09-25 | 2023-09-29 |
| UBS Securities Asia Limited | Rep | Type 1 - Dealing in securities | 2020-01-13 | 2020-01-17 |
| UBS Securities Asia Limited | Rep | Type 1 - Dealing in securities | 2019-10-18 | 2019-10-24 |
| UBS Securities Asia Limited | Rep | Type 1 - Dealing in securities | 2019-06-13 | 2019-06-19 |
| UBS Securities Asia Limited | Rep | Type 1 - Dealing in securities | 2019-01-07 | 2019-01-11 |
| UBS Securities Asia Limited | Rep | Type 1 - Dealing in securities | 2018-10-29 | 2018-11-02 |
| UBS Securities Asia Limited | Rep | Type 1 - Dealing in securities | 2018-06-22 | 2018-06-29 |
| UBS Securities Asia Limited | Rep | Type 1 - Dealing in securities | 2018-01-04 | 2018-01-12 |
| UBS Securities Asia Limited | Rep | Type 1 - Dealing in securities | 2017-10-19 | 2017-10-27 |
| UBS Securities Asia Limited | Rep | Type 1 - Dealing in securities | 2017-07-06 | 2017-07-11 |
| UBS Securities Asia Limited | Rep | Type 1 - Dealing in securities | 2017-01-10 | 2017-01-13 |
| UBS Securities Asia Limited | Rep | Type 1 - Dealing in securities | 2016-01-08 | 2016-01-14 |
| Deutsche Securities Asia Limited 德意志證券亞洲有限公司 |
Rep | Type 1 - Dealing in securities | 2014-02-28 | 2014-03-07 |
| Deutsche Securities Asia Limited 德意志證券亞洲有限公司 |
Rep | Type 1 - Dealing in securities | 2013-09-19 | 2013-10-08 |
| Deutsche Securities Asia Limited 德意志證券亞洲有限公司 |
Rep | Type 1 - Dealing in securities | 2008-07-25 | 2008-08-01 |