Neil L Advani
This page summarises the Hong Kong Securities and Futures Commission (SFC) public register record for Neil L Advani ( ), a licensed former licensee with CE reference AXM111. Total licence records on file: 4.
Licence history
| Firm | Role | Regulated activity | From | To |
|---|---|---|---|---|
| UBS Securities Asia Limited | Rep | Type 1 — Dealing in securities | 2011-07-12 | 2012-02-08 |
| UBS Securities Hong Kong Limited | Rep | Type 1 — Dealing in securities | 2011-07-12 | 2012-02-08 |
| UBS Derivatives Hong Kong Limited | Rep | Type 2 — Dealing in futures contracts | 2011-07-12 | 2012-02-08 |
| UBS Securities Asia Limited | Rep | Type 2 — Dealing in futures contracts | 2011-07-12 | 2012-02-08 |