Romain Pierre Dragoslav Barba
This page summarises the Hong Kong Securities and Futures Commission (SFC) public register record for Romain Pierre Dragoslav Barba, a licensed Responsible Officer with CE reference AVC249. Currently licensed at 2 firm(s): UBS Securities Asia Limited, UBS Securities Hong Kong Limited. Active regulated activities: Type 1 — Dealing in securities; Type 2 — Dealing in futures contracts. Total licence records on file: 17.
Licence history
| Firm | Role | Regulated activity | From | To |
|---|---|---|---|---|
| UBS Securities Asia Limited | RO | Type 1 — Dealing in securities | 2025-11-28 | present |
| UBS Securities Hong Kong Limited | RO | Type 1 — Dealing in securities | 2025-11-28 | present |
| UBS Securities Asia Limited | RO | Type 2 — Dealing in futures contracts | 2025-11-28 | present |
| UBS Securities Hong Kong Limited | RO | Type 2 — Dealing in futures contracts | 2025-11-28 | present |
| UBS Securities Asia Limited | Rep | Type 1 — Dealing in securities | 2025-02-11 | 2025-11-28 |
| UBS Securities Hong Kong Limited | Rep | Type 1 — Dealing in securities | 2025-02-11 | 2025-11-28 |
| UBS Securities Asia Limited | Rep | Type 2 — Dealing in futures contracts | 2025-02-11 | 2025-11-28 |
| UBS Securities Hong Kong Limited | Rep | Type 2 — Dealing in futures contracts | 2025-02-11 | 2025-11-28 |
| UBS Securities Asia Limited | Rep | Type 1 — Dealing in securities | 2024-10-15 | 2024-11-01 |
| UBS Securities Hong Kong Limited | Rep | Type 1 — Dealing in securities | 2024-10-15 | 2024-11-01 |
| UBS Securities Asia Limited | Rep | Type 2 — Dealing in futures contracts | 2024-10-15 | 2024-11-01 |
| UBS Securities Hong Kong Limited | Rep | Type 2 — Dealing in futures contracts | 2024-10-15 | 2024-11-01 |
| UBS Securities Asia Limited | Rep | Type 1 — Dealing in securities | 2024-02-05 | 2024-02-08 |
| UBS Securities Hong Kong Limited | Rep | Type 1 — Dealing in securities | 2024-02-05 | 2024-02-08 |
| UBS Securities Asia Limited | Rep | Type 2 — Dealing in futures contracts | 2024-02-05 | 2024-02-08 |
| UBS Securities Hong Kong Limited | Rep | Type 2 — Dealing in futures contracts | 2024-02-05 | 2024-02-08 |
| SG Securities (HK) Limited 法國興業證券(香港)有限公司 |
Rep | Type 1 — Dealing in securities | 2010-04-27 | 2016-06-30 |