Robert B Karofsky
This page summarises the Hong Kong Securities and Futures Commission (SFC) public register record for Robert B Karofsky ( ), a licensed former licensee with CE reference ASX340. Total licence records on file: 8.
Licence history
| Firm | Role | Regulated activity | From | To |
|---|---|---|---|---|
| UBS Securities Asia Limited | Rep | Type 1 - Dealing in securities | 2018-06-21 | 2025-03-07 |
| UBS Securities Asia Limited | Rep | Type 1 - Dealing in securities | 2018-03-14 | 2018-03-16 |
| UBS Securities Asia Limited | Rep | Type 1 - Dealing in securities | 2017-10-20 | 2017-10-27 |
| UBS Securities Asia Limited | Rep | Type 1 - Dealing in securities | 2017-07-07 | 2017-07-14 |
| UBS Securities Asia Limited | Rep | Type 1 - Dealing in securities | 2017-01-06 | 2017-01-13 |
| UBS Securities Asia Limited | Rep | Type 1 - Dealing in securities | 2016-09-15 | 2016-09-23 |
| Deutsche Securities Asia Limited 德意志證券亞洲有限公司 |
Rep | Type 1 - Dealing in securities | 2009-05-06 | 2009-06-30 |
| Deutsche Securities Asia Limited 德意志證券亞洲有限公司 |
Rep | Type 2 - Dealing in futures contracts | 2009-05-06 | 2009-06-30 |