Keith Alan Truelove
This page summarises the Hong Kong Securities and Futures Commission (SFC) public register record for Keith Alan Truelove ( ), a licensed former licensee with CE reference AWF626. Total licence records on file: 19.
Licence history
| Firm | Role | Regulated activity | From | To |
|---|---|---|---|---|
| UBS Securities Asia Limited | Rep | Type 1 - Dealing in securities | 2023-08-25 | 2023-09-01 |
| UBS Securities Asia Limited | Rep | Type 1 - Dealing in securities | 2023-03-10 | 2023-03-22 |
| UBS Securities Asia Limited | Rep | Type 1 - Dealing in securities | 2020-01-06 | 2020-01-09 |
| UBS Securities Asia Limited | Rep | Type 1 - Dealing in securities | 2019-10-17 | 2019-10-25 |
| UBS Securities Asia Limited | Rep | Type 1 - Dealing in securities | 2019-08-22 | 2019-08-28 |
| 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 | 2019-03-25 | 2019-03-30 |
| UBS Securities Asia Limited | Rep | Type 1 - Dealing in securities | 2018-12-06 | 2018-12-14 |
| 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 | 2018-08-23 | 2018-08-29 |
| UBS Securities Asia Limited | Rep | Type 1 - Dealing in securities | 2018-04-06 | 2018-04-10 |
| UBS Securities Asia Limited | Rep | Type 1 - Dealing in securities | 2018-03-08 | 2018-03-28 |
| UBS Securities Asia Limited | Rep | Type 1 - Dealing in securities | 2018-01-15 | 2018-01-19 |
| SMBC Nikko Securities (Hong Kong) Limited 日興證券(香港)有限公司 |
Rep | Type 1 - Dealing in securities | 2016-02-23 | 2017-11-16 |
| SMBC Nikko Securities (Hong Kong) Limited 日興證券(香港)有限公司 |
Rep | Type 4 - Advising on securities | 2016-02-23 | 2017-11-16 |
| Mizuho Securities Asia Limited 瑞穗證券亞洲有限公司 |
Rep | Type 1 - Dealing in securities | 2013-09-16 | 2015-10-31 |
| Mizuho Securities Asia Limited 瑞穗證券亞洲有限公司 |
Rep | Type 4 - Advising on securities | 2013-09-16 | 2015-10-31 |
| UBS Securities Asia Limited | Rep | Type 1 - Dealing in securities | 2010-11-10 | 2013-05-02 |
| UBS Securities Asia Limited | Rep | Type 2 - Dealing in futures contracts | 2010-11-10 | 2013-05-02 |