Fabien Jean Roger Falipou
This page summarises the Hong Kong Securities and Futures Commission (SFC) public register record for Fabien Jean Roger Falipou, CE reference AZY951. Currently licensed at 2 firm(s): UBS Securities Asia Limited, UBS Securities Hong Kong Limited. Total licence records on file: 13.
Licence history
| Firm | Role | Regulated activity | From | To |
|---|---|---|---|---|
| UBS Securities Asia Limited | RO | Type 1 — Dealing in securities | 2021-12-03 | present |
| UBS Securities Hong Kong Limited | RO | Type 1 — Dealing in securities | 2021-12-03 | present |
| UBS Securities Asia Limited | RO | Type 2 — Dealing in futures contracts | 2021-12-03 | present |
| UBS Securities Hong Kong Limited | RO | Type 2 — Dealing in futures contracts | 2021-12-03 | present |
| UBS Securities Asia Limited | Rep | Type 1 — Dealing in securities | 2017-11-13 | 2021-12-03 |
| UBS Securities Hong Kong Limited | Rep | Type 1 — Dealing in securities | 2017-11-13 | 2021-12-03 |
| UBS Securities Asia Limited | Rep | Type 2 — Dealing in futures contracts | 2017-11-13 | 2021-12-03 |
| UBS Securities Hong Kong Limited | Rep | Type 2 — Dealing in futures contracts | 2017-11-13 | 2021-12-03 |
| Goldman Sachs (Asia) Securities Limited 高盛(亞洲)證券有限公司 |
Rep | Type 1 — Dealing in securities | 2016-10-11 | 2017-07-15 |
| Goldman Sachs (Asia) Securities Limited 高盛(亞洲)證券有限公司 |
Rep | Type 2 — Dealing in futures contracts | 2016-10-11 | 2017-07-15 |
| Goldman Sachs (Asia) L.L.C. 高盛(亞洲)有限責任公司 |
Rep | Type 1 — Dealing in securities | 2012-08-06 | 2017-07-15 |
| Goldman Sachs (Asia) Securities Limited 高盛(亞洲)證券有限公司 |
Rep | Type 1 — Dealing in securities | 2012-08-06 | 2016-10-10 |
| Goldman Sachs Futures (Asia) Limited 高盛期貨(亞洲)有限公司 |
Rep | Type 2 — Dealing in futures contracts | 2012-08-06 | 2016-10-10 |