Peter Richard McNulty
This page summarises the Hong Kong Securities and Futures Commission (SFC) public register record for Peter Richard McNulty, a licensed Responsible Officer with CE reference BBR308. 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: 8.
Licence history
| Firm | Role | Regulated activity | From | To |
|---|---|---|---|---|
| UBS Securities Asia Limited | RO | Type 1 — Dealing in securities | 2021-11-30 | present |
| UBS Securities Hong Kong Limited | RO | Type 1 — Dealing in securities | 2021-11-30 | present |
| UBS Securities Hong Kong Limited | Rep | Type 2 — Dealing in futures contracts | 2016-12-19 | present |
| UBS Securities Asia Limited | Rep | Type 2 — Dealing in futures contracts | 2013-08-12 | present |
| UBS Securities Hong Kong Limited | Rep | Type 1 — Dealing in securities | 2016-12-19 | 2021-11-30 |
| UBS Securities Asia Limited | Rep | Type 1 — Dealing in securities | 2013-08-12 | 2021-11-30 |
| UBS Securities Hong Kong Limited | Rep | Type 1 — Dealing in securities | 2013-08-12 | 2016-12-18 |
| UBS Derivatives Hong Kong Limited | Rep | Type 2 — Dealing in futures contracts | 2013-08-12 | 2016-12-18 |