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

MACFARLANE Richard James

CE AAY378Licensed IndividualNo active licence
Official SFC record

MACFARLANE Richard James (CE number AAY378) is an individual licensed by the Hong Kong SFC. First licensed on 2014-10-20. Their SFC licence is currently not active. Accredited for regulated activities Type 1 (Securities dealing), Type 2 (Futures dealing), Type 4 (Advising on securities), Type 7 (Automated trading).

Regulated Activities (on record) (4)

RA 1 Dealing in Securities
RA 2 Dealing in Futures Contracts
RA 4 Advising on Securities
RA 7 Providing Automated Trading Services

Roles & Accreditations (2)

CapacityCompany / Institution
RepresentativeUBS Securities Asia Limited
RepresentativeUBS Securities Hong Kong Limited

Licence Record (5)

2021-01-13 – 2022-08-12
Vantage Capital Markets HK Limited RO
RA 1
2020-09-18 – 2021-01-13
Vantage Capital Markets HK Limited Rep
RA 1
2019-02-01 – 2020-09-02
BestEx Asia Limited Rep
RA 1
2017-01-17 – 2019-02-01
BestEx Asia Limited RO
RA 1
2014-10-20 – 2016-02-24
Citigroup Global Markets Asia Limited Rep
RA 1 RA 2 RA 4 RA 7

Source: SFC, HKMA and other public regulatory records · Unofficial — this site is NOT the SFC, for reference only
Official record：apps.sfc.hk publicregWeb · JSON API：/api/indi/AAY378