Daniel Joseph Murphy
This page summarises the Hong Kong Securities and Futures Commission (SFC) public register record for Daniel Joseph Murphy ( ), a licensed former licensee with CE reference ASI403. Total licence records on file: 24.
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 | RO | Type 1 — Dealing in securities | 2018-01-02 | 2022-02-28 |
| UBS Securities Hong Kong Limited | RO | Type 1 — Dealing in securities | 2018-01-02 | 2022-02-28 |
| UBS Securities Asia Limited | Rep | Type 1 — Dealing in securities | 2017-03-06 | 2018-01-02 |
| UBS Securities Hong Kong Limited | Rep | Type 1 — Dealing in securities | 2017-03-06 | 2018-01-02 |
| UBS Securities Asia Limited | Rep | Type 2 — Dealing in futures contracts | 2017-03-06 | 2022-02-28 |
| UBS Securities Hong Kong Limited | Rep | Type 2 — Dealing in futures contracts | 2017-03-06 | 2022-02-28 |
| UBS Securities Hong Kong Limited | Rep | Type 7 — Providing automated trading services | 2017-03-06 | 2022-02-28 |
| J.P. Morgan Securities (Far East) Limited | RO | Type 1 — Dealing in securities | 2016-04-13 | 2016-12-06 |
| J.P. Morgan Broking (Hong Kong) Limited | RO | Type 1 — Dealing in securities | 2016-04-13 | 2016-09-13 |
| J.P. Morgan Broking (Hong Kong) Limited | RO | Type 2 — Dealing in futures contracts | 2016-04-13 | 2016-12-06 |
| J.P. Morgan Securities (Far East) Limited | RO | Type 4 — Advising on securities | 2016-04-13 | 2016-12-06 |
| J.P. Morgan Broking (Hong Kong) Limited | RO | Type 4 — Advising on securities | 2016-04-13 | 2016-09-13 |
| J.P. Morgan Broking (Hong Kong) Limited | RO | Type 5 — Advising on futures contracts | 2016-04-13 | 2016-12-06 |
| J.P. Morgan Broking (Hong Kong) Limited | Rep | Type 1 — Dealing in securities | 2013-07-22 | 2016-04-13 |
| J.P. Morgan Securities (Far East) Limited | Rep | Type 1 — Dealing in securities | 2013-07-22 | 2016-04-13 |
| J.P. Morgan Broking (Hong Kong) Limited | Rep | Type 2 — Dealing in futures contracts | 2013-07-22 | 2016-04-13 |
| J.P. Morgan Broking (Hong Kong) Limited | Rep | Type 4 — Advising on securities | 2013-07-22 | 2016-04-13 |
| J.P. Morgan Securities (Far East) Limited | Rep | Type 4 — Advising on securities | 2013-07-22 | 2016-04-13 |
| J.P. Morgan Broking (Hong Kong) Limited | Rep | Type 5 — Advising on futures contracts | 2013-07-22 | 2016-04-13 |
| Merrill Lynch (Asia Pacific) Limited | Rep | Type 1 — Dealing in securities | 2011-10-17 | 2013-04-20 |
| Merrill Lynch Far East Limited | Rep | Type 1 — Dealing in securities | 2011-10-17 | 2013-04-20 |
| Merrill Lynch Far East Limited | Rep | Type 2 — Dealing in futures contracts | 2011-10-17 | 2013-04-20 |
| Knight Capital Asia Limited 澧盈資本亞洲有限公司 |
Rep | Type 1 — Dealing in securities | 2009-01-23 | 2011-08-19 |