Seth James Edward Moran
This page summarises the Hong Kong Securities and Futures Commission (SFC) public register record for Seth James Edward Moran ( ), a licensed former licensee with CE reference BBP361. Total licence records on file: 8.
Licence history
| Firm | Role | Regulated activity | From | To |
|---|---|---|---|---|
| Jefferies Hong Kong Limited 富瑞金融集團香港有限公司 |
Rep | Type 1 - Dealing in securities | 2023-02-08 | 2024-05-06 |
| UBS Securities Asia Limited | Rep | Type 1 - Dealing in securities | 2018-03-05 | 2018-03-14 |
| UBS Securities Asia Limited | Rep | Type 1 - Dealing in securities | 2017-07-04 | 2017-07-11 |
| UBS Securities Asia Limited | Rep | Type 1 - Dealing in securities | 2016-09-08 | 2016-09-13 |
| UBS Securities Asia Limited | Rep | Type 1 - Dealing in securities | 2016-03-10 | 2016-03-19 |
| UBS Securities Asia Limited | Rep | Type 1 - Dealing in securities | 2015-10-15 | 2015-10-24 |
| UBS Securities Asia Limited | Rep | Type 1 - Dealing in securities | 2013-07-19 | 2015-02-16 |
| UBS Securities Asia Limited | Rep | Type 2 - Dealing in futures contracts | 2013-07-19 | 2015-02-16 |