Richard William Johnston
This page summarises the Hong Kong Securities and Futures Commission (SFC) public register record for Richard William Johnston, a licensed Responsible Officer with CE reference AET370. Currently licensed at 1 firm(s): Albourne Partners (Asia) Limited. Active regulated activities: Type 4 — Advising on securities. Total licence records on file: 5.
Licence history
| Firm | Role | Regulated activity | From | To |
|---|---|---|---|---|
| Albourne Partners (Asia) Limited | RO | Type 4 — Advising on securities | 2004-09-07 | present |
| UBS Securities Asia Limited | Rep | Type 1 — Dealing in securities | present | 2004-04-14 |
| UBS Securities Asia Limited | Rep | Type 4 — Advising on securities | present | 2003-06-11 |
| UBS Securities Asia Limited | Rep | Type 6 — Advising on corporate finance | present | 2003-06-11 |
| UBS Securities Asia Limited | Rep | Type 9 — Asset management | present | 2003-06-11 |