Best, David Gareth

Key Data Licences & registrations Public Disciplinary Actions

SFC licenses

A person without a starting date was in that role since at least 1-Apr-2003, when the current register began.

Show old organisation names

Current only

Organisation	Role	Activity	From	Until
UBS SECURITIES ASIA LIMITED	Rep	Dealing in futures contracts	2022-10-25	-
	Rep	Dealing in securities	2022-10-25	-
UBS SECURITIES HONG KONG LIMITED	Rep	Dealing in futures contracts	2022-10-25	-
	Rep	Dealing in securities	2022-10-25	-
NOMURA INTERNATIONAL (HONG KONG) LIMITED	Rep	Dealing in futures contracts	2018-07-26	2022-06-27
	Rep	Dealing in securities	2018-07-26	2022-06-27
UBS SECURITIES HONG KONG LIMITED	Rep	Dealing in futures contracts	2016-12-19	2018-04-28
	Rep	Dealing in securities	2016-12-19	2018-04-28
UBS DERIVATIVES HONG KONG LIMITED	Rep	Dealing in futures contracts	2013-04-11	2016-12-18
UBS SECURITIES HONG KONG LIMITED	Rep	Dealing in securities	2013-04-11	2016-12-18
UBS SECURITIES ASIA LIMITED	Rep	Dealing in futures contracts	2011-11-08	2018-04-28
	Rep	Dealing in securities	2011-11-08	2018-04-28
UBS DERIVATIVES HONG KONG LIMITED	Rep	Dealing in futures contracts	2011-03-22	2011-04-15
UBS SECURITIES ASIA LIMITED	Rep	Dealing in futures contracts	2011-03-22	2011-04-15
	Rep	Dealing in securities	2011-03-22	2011-04-15
UBS SECURITIES HONG KONG LIMITED	Rep	Dealing in securities	2011-03-22	2011-04-15
Credit Suisse (Hong Kong) Limited	Rep	Providing automated trading services	2008-12-23	2010-02-19
	Rep	Dealing in futures contracts	2008-12-23	2010-02-19
	Rep	Dealing in securities	2008-12-23	2010-02-19
Credit Suisse Securities (Hong Kong) Limited	Rep	Dealing in securities	2008-12-23	2010-02-19
	Rep	Dealing in securities	2006-04-13	2006-08-28
Credit Suisse Futures (Hong Kong) Limited	Rep	Providing automated trading services	2005-04-14	2006-08-28
Credit Suisse (Hong Kong) Limited	Rep	Dealing in securities	2004-05-07	2006-08-28
Credit Suisse Futures (Hong Kong) Limited	Rep	Dealing in futures contracts	2004-05-07	2006-08-28

HKMA registrations

HKMA relevant-individual registrations, shown separately from SFC licences. EO means executive officer.

Current registrations only

No HKMA registrations in the collected records.