William Talbot Faulkner
This page summarises the Hong Kong Securities and Futures Commission (SFC) public register record for William Talbot Faulkner ( ), a licensed former licensee with CE reference AXH731. Total licence records on file: 10.
Licence history
| Firm | Role | Regulated activity | From | To |
|---|---|---|---|---|
| Tora Trading Services Limited | Rep | Type 2 — Dealing in futures contracts | 2023-02-17 | 2025-10-31 |
| Tora Trading Services Limited | Rep | Type 1 — Dealing in securities | 2022-11-18 | 2025-10-31 |
| Tora Trading Services Limited | Rep | Type 7 — Providing automated trading services | 2022-11-18 | 2025-10-31 |
| Citigroup Global Markets Asia Limited 花旗環球金融亞洲有限公司 |
Rep | Type 1 — Dealing in securities | 2014-01-16 | 2019-06-24 |
| Citigroup Global Markets Asia Limited 花旗環球金融亞洲有限公司 |
Rep | Type 2 — Dealing in futures contracts | 2014-01-16 | 2019-06-24 |
| Citigroup Global Markets Asia Limited 花旗環球金融亞洲有限公司 |
Rep | Type 7 — Providing automated trading services | 2014-01-16 | 2019-06-24 |
| UBS Securities Hong Kong Limited | Rep | Type 7 — Providing automated trading services | 2011-11-09 | 2013-11-13 |
| UBS Securities Asia Limited | Rep | Type 2 — Dealing in futures contracts | 2011-07-18 | 2013-11-13 |
| UBS Securities Asia Limited | Rep | Type 1 — Dealing in securities | 2011-06-14 | 2013-11-13 |
| UBS Securities Hong Kong Limited | Rep | Type 1 — Dealing in securities | 2011-06-14 | 2013-11-13 |