Richard Martin Walters
This page summarises the Hong Kong Securities and Futures Commission (SFC) public register record for Richard Martin Walters ( ), a licensed former licensee with CE reference BFA302. Total licence records on file: 3.
Licence history
| Firm | Role | Regulated activity | From | To |
|---|---|---|---|---|
| UBS Securities Asia Limited | Rep | Type 1 - Dealing in securities | 2015-05-05 | 2015-05-18 |
| UBS Securities Asia Limited | Rep | Type 2 - Dealing in futures contracts | 2015-05-05 | 2015-05-18 |
| UBS Securities Asia Limited | Rep | Type 1 - Dealing in securities | 2015-03-05 | 2015-03-12 |