James Andrew Groves
This page summarises the Hong Kong Securities and Futures Commission (SFC) public register record for James Andrew Groves ( ), a licensed former licensee with CE reference AYD299. Total licence records on file: 3.
Licence history
| Firm | Role | Regulated activity | From | To |
|---|---|---|---|---|
| UBS Securities Asia Limited | Rep | Type 1 - Dealing in securities | 2011-09-30 | 2014-11-20 |
| UBS Securities Hong Kong Limited | Rep | Type 1 - Dealing in securities | 2011-09-30 | 2014-11-20 |
| UBS Securities Hong Kong Limited | Rep | Type 7 - Providing automated trading services | 2011-09-30 | 2014-11-20 |