James David Malcolm
This page summarises the Hong Kong Securities and Futures Commission (SFC) public register record for James David Malcolm ( ), a licensed former licensee with CE reference BJL213. Total licence records on file: 6.
Licence history
| Firm | Role | Regulated activity | From | To |
|---|---|---|---|---|
| UBS Securities Asia Limited | Rep | Type 4 - Advising on securities | 2024-11-29 | 2024-12-04 |
| UBS Securities Asia Limited | Rep | Type 4 - Advising on securities | 2024-05-24 | 2024-05-30 |
| UBS Securities Asia Limited | Rep | Type 4 - Advising on securities | 2019-06-14 | 2019-06-19 |
| UBS Securities Asia Limited | Rep | Type 4 - Advising on securities | 2018-10-12 | 2018-10-16 |
| UBS Securities Asia Limited | Rep | Type 4 - Advising on securities | 2018-03-08 | 2018-03-15 |
| UBS Securities Asia Limited | Rep | Type 4 - Advising on securities | 2017-04-24 | 2017-05-01 |