Niall James MacLeod
This page summarises the Hong Kong Securities and Futures Commission (SFC) public register record for Niall James MacLeod, a licensed Responsible Officer with CE reference AOY622. Currently licensed at 1 firm(s): UBS Securities Asia Limited. Active regulated activities: Type 4 — Advising on securities. Total licence records on file: 3.
Licence history
| Firm | Role | Regulated activity | From | To |
|---|---|---|---|---|
| UBS Securities Asia Limited | RO | Type 4 — Advising on securities | 2023-08-01 | present |
| UBS Securities Asia Limited | Rep | Type 4 — Advising on securities | 2008-06-05 | 2023-08-01 |
| Geomatrix (H.K.) Limited 世確(香港)有限公司 |
Rep | Type 9 — Asset management | 2007-05-28 | 2008-02-12 |