Alun Richard James
This page summarises the Hong Kong Securities and Futures Commission (SFC) public register record for Alun Richard James ( ), a licensed former licensee with CE reference BBU307. Total licence records on file: 14.
Licence history
| Firm | Role | Regulated activity | From | To |
|---|---|---|---|---|
| UBS Securities Asia Limited | Rep | Type 1 - Dealing in securities | 2025-11-07 | 2025-11-14 |
| UBS Securities Asia Limited | Rep | Type 2 - Dealing in futures contracts | 2025-11-07 | 2025-11-14 |
| UBS Securities Asia Limited | Rep | Type 1 - Dealing in securities | 2025-05-06 | 2025-05-09 |
| UBS Securities Asia Limited | Rep | Type 2 - Dealing in futures contracts | 2025-05-06 | 2025-05-09 |
| UBS Securities Asia Limited | Rep | Type 1 - Dealing in securities | 2024-10-25 | 2024-11-01 |
| UBS Securities Asia Limited | Rep | Type 2 - Dealing in futures contracts | 2024-10-25 | 2024-11-01 |
| UBS Securities Asia Limited | Rep | Type 1 - Dealing in securities | 2023-10-20 | 2023-10-27 |
| UBS Securities Asia Limited | Rep | Type 2 - Dealing in futures contracts | 2023-10-20 | 2023-10-27 |
| UBS Securities Asia Limited | Rep | Type 1 - Dealing in securities | 2023-04-14 | 2023-04-21 |
| UBS Securities Asia Limited | Rep | Type 2 - Dealing in futures contracts | 2023-04-14 | 2023-04-21 |
| UBS Securities Hong Kong Limited | Rep | Type 1 - Dealing in securities | 2017-12-18 | 2022-05-20 |
| UBS Securities Asia Limited | Rep | Type 2 - Dealing in futures contracts | 2017-12-18 | 2022-05-20 |
| UBS Securities Hong Kong Limited | Rep | Type 2 - Dealing in futures contracts | 2017-12-18 | 2022-05-20 |
| UBS Securities Asia Limited | Rep | Type 1 - Dealing in securities | 2013-09-09 | 2022-05-20 |