Unofficial — this is NOT the SFC. Independent site, not affiliated with the Securities and Futures Commission of Hong Kong. All information is referenced from the SFC public register and is for reference only — verify on the official SFC website before relying on it.
SFC Radar
中文 ← Back to search

JAMES, ALUN RICHARD

HKMA AG6825HKMA Relevant IndividualNot currently registered
Official HKMA record

JAMES, ALUN RICHARD (HKMA registration number AG6825) is a relevant individual on the HKMA Register of Securities Staff of Authorized Institutions. Not currently registered. Has been engaged at 1 authorized institution over time.

Current Registration

No current registration.

Registration History (8)

2026-05-22 – 2026-05-29
UBS AG
RA 1
2025-11-07 – 2025-11-14
UBS AG
RA 1
2025-05-06 – 2025-05-09
UBS AG
RA 1
2024-10-25 – 2024-11-01
UBS AG
RA 1
2023-10-20 – 2023-10-27
UBS AG
RA 1
2023-04-14 – 2023-04-21
UBS AG
RA 1
2015-03-13 – 2022-05-20
UBS AG
RA 1
2013-09-18 – 2015-03-12
UBS AG
RA 1

Data referenced from the HKMA public "Register of Securities Staff of Authorized Institutions" — for reference only.
Official record：apps.hkma.gov.hk · JSON API：/api/hkma/AG6825