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WANNENMACHER Tim

CE AMU467Licensed IndividualResponsible OfficerExecutive OfficerSFO licence active
Official SFC record

WANNENMACHER Tim (CE number AMU467) is an individual licensed by the Hong Kong SFC. First licensed on 2005-12-09. Their SFC licence is currently active. Accredited for regulated activities Type 1 (Securities dealing), Type 2 (Futures dealing), Type 7 (Automated trading). Currently a responsible officer at 2 firms.

Regulated Activities (on record) (3)

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

Roles & Accreditations (3)

CapacityCompany / Institution
Responsible OfficerUBS Securities Asia Limited
Responsible OfficerUBS Securities Hong Kong Limited
Executive OfficerUBS AG

Licence Record (10)

2016-12-19 – present Current
UBS Securities Hong Kong Limited RO
RA 1 RA 2 RA 7
2014-01-07 – present Current
UBS Securities Asia Limited RO
RA 1 RA 2
2014-01-07 – 2016-12-18
UBS Securities Hong Kong Limited RO
RA 1
2014-01-07 – 2016-12-18
UBS Derivatives Hong Kong Limited RO
RA 2
2013-11-08 – 2014-01-07
UBS Securities Hong Kong Limited Rep
RA 1
2011-05-12 – 2018-04-30
UBS Securities Asia Limited Rep
RA 1 RA 2
2011-05-12 – 2014-01-07
UBS Derivatives Hong Kong Limited Rep
RA 2
2009-11-18 – 2010-12-18
Nomura International (Hong Kong) Limited RO
RA 1 RA 2
2008-10-10 – 2009-11-18
Nomura International (Hong Kong) Limited Rep
RA 1 RA 2
2005-12-09 – 2008-09-29
Lehman Brothers Asia Limited Rep
RA 1 RA 2

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/AMU467