James Thomas Edward Briggs
This page summarises the Hong Kong Securities and Futures Commission (SFC) public register record for James Thomas Edward Briggs, a licensed former licensee with CE reference BCC466. Total licence records on file: 24.
Licence history
| Firm | Role | Regulated activity | From | To |
|---|---|---|---|---|
| UBS Securities Asia Limited | Rep | Type 1 - Dealing in securities | 2026-03-10 | 2026-03-14 |
| UBS Securities Asia Limited | Rep | Type 2 - Dealing in futures contracts | 2026-03-10 | 2026-03-14 |
| UBS Securities Asia Limited | Rep | Type 1 - Dealing in securities | 2025-12-01 | 2025-12-07 |
| UBS Securities Asia Limited | Rep | Type 2 - Dealing in futures contracts | 2025-12-01 | 2025-12-07 |
| UBS Securities Asia Limited | Rep | Type 1 - Dealing in securities | 2025-05-26 | 2025-05-31 |
| UBS Securities Asia Limited | Rep | Type 2 - Dealing in futures contracts | 2025-05-26 | 2025-05-31 |
| UBS Securities Asia Limited | Rep | Type 1 - Dealing in securities | 2025-02-21 | 2025-02-26 |
| UBS Securities Asia Limited | Rep | Type 2 - Dealing in futures contracts | 2025-02-21 | 2025-02-26 |
| UBS Securities Asia Limited | Rep | Type 1 - Dealing in securities | 2024-09-20 | 2024-09-25 |
| UBS Securities Asia Limited | Rep | Type 2 - Dealing in futures contracts | 2024-09-20 | 2024-09-25 |
| UBS Securities Asia Limited | Rep | Type 1 - Dealing in securities | 2024-05-24 | 2024-06-07 |
| UBS Securities Asia Limited | Rep | Type 2 - Dealing in futures contracts | 2024-05-24 | 2024-06-07 |
| UBS Securities Asia Limited | Rep | Type 1 - Dealing in securities | 2024-03-12 | 2024-03-15 |
| UBS Securities Asia Limited | Rep | Type 2 - Dealing in futures contracts | 2024-03-12 | 2024-03-15 |
| UBS Securities Asia Limited | Rep | Type 1 - Dealing in securities | 2023-11-21 | 2023-11-24 |
| UBS Securities Asia Limited | Rep | Type 2 - Dealing in futures contracts | 2023-11-21 | 2023-11-24 |
| UBS Securities Asia Limited | Rep | Type 1 - Dealing in securities | 2023-09-12 | 2023-09-17 |
| UBS Securities Asia Limited | Rep | Type 2 - Dealing in futures contracts | 2023-09-12 | 2023-09-17 |
| UBS Securities Asia Limited | Rep | Type 1 - Dealing in securities | 2023-06-08 | 2023-06-13 |
| UBS Securities Asia Limited | Rep | Type 2 - Dealing in futures contracts | 2023-06-08 | 2023-06-13 |
| 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 Asia Limited | Rep | Type 2 - Dealing in futures contracts | 2014-05-22 | 2022-07-27 |
| UBS Securities Asia Limited | Rep | Type 1 - Dealing in securities | 2013-10-24 | 2022-07-27 |