Timothy James Lock
This page summarises the Hong Kong Securities and Futures Commission (SFC) public register record for Timothy James Lock ( ), a licensed former licensee with CE reference AXQ297. Total licence records on file: 18.
Licence history
| Firm | Role | Regulated activity | From | To |
|---|---|---|---|---|
| UBS Securities Asia Limited | Rep | Type 1 - Dealing in securities | 2024-01-09 | 2024-01-12 |
| UBS Securities Hong Kong Limited | Rep | Type 1 - Dealing in securities | 2024-01-09 | 2024-01-12 |
| UBS Securities Asia Limited | Rep | Type 2 - Dealing in futures contracts | 2024-01-09 | 2024-01-12 |
| UBS Securities Hong Kong Limited | Rep | Type 2 - Dealing in futures contracts | 2024-01-09 | 2024-01-12 |
| UBS Securities Asia Limited | Rep | Type 1 - Dealing in securities | 2023-10-24 | 2023-10-27 |
| UBS Securities Hong Kong Limited | Rep | Type 1 - Dealing in securities | 2023-10-24 | 2023-10-27 |
| UBS Securities Asia Limited | Rep | Type 2 - Dealing in futures contracts | 2023-10-24 | 2023-10-27 |
| UBS Securities Hong Kong Limited | Rep | Type 2 - Dealing in futures contracts | 2023-10-24 | 2023-10-27 |
| UBS Securities Asia Limited | Rep | Type 1 - Dealing in securities | 2023-05-29 | 2023-06-02 |
| UBS Securities Hong Kong Limited | Rep | Type 1 - Dealing in securities | 2023-05-29 | 2023-06-02 |
| UBS Securities Asia Limited | Rep | Type 2 - Dealing in futures contracts | 2023-05-29 | 2023-06-02 |
| UBS Securities Hong Kong Limited | Rep | Type 2 - Dealing in futures contracts | 2023-05-29 | 2023-06-02 |
| UBS Securities Hong Kong Limited | Rep | Type 1 - Dealing in securities | 2016-12-19 | 2022-05-31 |
| UBS Securities Hong Kong Limited | Rep | Type 2 - Dealing in futures contracts | 2016-12-19 | 2022-05-31 |
| UBS Securities Asia Limited | Rep | Type 1 - Dealing in securities | 2011-07-18 | 2022-05-31 |
| UBS Securities Hong Kong Limited | Rep | Type 1 - Dealing in securities | 2011-07-18 | 2016-12-18 |
| UBS Securities Asia Limited | Rep | Type 2 - Dealing in futures contracts | 2011-07-18 | 2022-05-31 |
| UBS Derivatives Hong Kong Limited | Rep | Type 2 - Dealing in futures contracts | 2011-07-18 | 2016-12-18 |