Richard Adrian Conley
This page summarises the Hong Kong Securities and Futures Commission (SFC) public register record for Richard Adrian Conley ( ), a licensed former licensee with CE reference AQK261. Total licence records on file: 12.
Licence history
| Firm | Role | Regulated activity | From | To |
|---|---|---|---|---|
| UBS Securities Asia Limited | Rep | Type 1 — Dealing in securities | 2017-06-09 | 2017-06-16 |
| UBS Securities Asia Limited | Rep | Type 2 — Dealing in futures contracts | 2017-06-09 | 2017-06-16 |
| UBS Securities Hong Kong Limited | Rep | Type 1 — Dealing in securities | 2016-12-19 | 2017-03-01 |
| UBS Securities Hong Kong Limited | Rep | Type 2 — Dealing in futures contracts | 2016-12-19 | 2017-03-01 |
| UBS Securities Hong Kong Limited | Rep | Type 7 — Providing automated trading services | 2016-12-19 | 2017-03-01 |
| UBS Securities Asia Limited | Rep | Type 1 — Dealing in securities | 2011-11-11 | 2017-03-01 |
| UBS Securities Hong Kong Limited | Rep | Type 1 — Dealing in securities | 2011-11-11 | 2016-12-18 |
| UBS Securities Asia Limited | Rep | Type 2 — Dealing in futures contracts | 2011-11-11 | 2017-03-01 |
| UBS Derivatives Hong Kong Limited | Rep | Type 2 — Dealing in futures contracts | 2011-11-11 | 2016-12-18 |
| UBS Securities Hong Kong Limited | Rep | Type 7 — Providing automated trading services | 2011-11-11 | 2016-12-18 |
| Goldman Sachs (Asia) L.L.C. 高盛(亞洲)有限責任公司 |
Rep | Type 1 — Dealing in securities | 2008-03-17 | 2008-12-11 |
| Goldman Sachs Futures (Asia) Limited 高盛期貨(亞洲)有限公司 |
Rep | Type 2 — Dealing in futures contracts | 2008-03-17 | 2008-12-11 |