Barbara, Romain

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	2020-07-27	-
	Rep	Dealing in securities	2020-07-27	-
UBS SECURITIES HONG KONG LIMITED	Rep	Dealing in futures contracts	2020-07-27	-
	Rep	Dealing in securities	2020-07-27	-

HKMA registrations

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

HKMA records could not be loaded. Please try again later.

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	2020-07-27	-
	Rep	Dealing in securities	2020-07-27	-
UBS SECURITIES HONG KONG LIMITED	Rep	Dealing in futures contracts	2020-07-27	-
	Rep	Dealing in securities	2020-07-27	-

HKMA registrations

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

HKMA records could not be loaded. Please try again later.