David Lyall Strachan
This page summarises the Hong Kong Securities and Futures Commission (SFC) public register record for David Lyall Strachan ( ), a licensed former licensee with CE reference AFF232. Total licence records on file: 14.
Licence history
| Firm | Role | Regulated activity | From | To |
|---|---|---|---|---|
| UBS Securities Hong Kong Limited | Rep | Type 2 — Dealing in futures contracts | 2016-12-19 | 2018-09-08 |
| UBS Securities Asia Limited | Rep | Type 1 — Dealing in securities | 2013-10-15 | 2018-09-08 |
| UBS Securities Asia Limited | Rep | Type 2 — Dealing in futures contracts | 2013-10-15 | 2018-09-08 |
| UBS Derivatives Hong Kong Limited | Rep | Type 2 — Dealing in futures contracts | 2013-10-15 | 2016-12-18 |
| J.P. Morgan Broking (Hong Kong) Limited | RO | Type 1 — Dealing in securities | 2004-12-15 | 2005-06-21 |
| J.P. Morgan Broking (Hong Kong) Limited | RO | Type 4 — Advising on securities | 2004-12-15 | 2005-06-21 |
| J.P. Morgan Broking (Hong Kong) Limited | RO | Type 2 — Dealing in futures contracts | 2004-04-16 | 2013-01-29 |
| J.P. Morgan Broking (Hong Kong) Limited | RO | Type 5 — Advising on futures contracts | 2004-04-16 | 2013-01-29 |
| J.P. Morgan Broking (Hong Kong) Limited | Rep | Type 2 — Dealing in futures contracts | 2003-12-06 | 2004-04-16 |
| J.P. Morgan Broking (Hong Kong) Limited | Rep | Type 5 — Advising on futures contracts | 2003-12-06 | 2004-04-16 |
| J.P. Morgan Futures Hong Kong Limited |
Rep | Type 2 — Dealing in futures contracts | present | 2003-12-06 |
| J.P. Morgan Futures Hong Kong Limited |
Rep | Type 5 — Advising on futures contracts | present | 2003-12-06 |
| J.P. Morgan Futures Hong Kong Limited |
Rep | Type 7 — Providing automated trading services | present | 2003-12-04 |
| J.P. Morgan Futures Hong Kong Limited |
Rep | Type 9 — Asset management | present | 2003-12-04 |