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ERSOY Alan Metin

CE AOY949Licensed IndividualResponsible OfficerSFO licence active
Official SFC record

ERSOY Alan Metin (CE number AOY949) is an individual licensed by the Hong Kong SFC. First licensed on 2007-06-01. 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 (4)

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

Licence Record (8)

2018-09-21 – present Current
UBS Securities Asia Limited RO
RA 1
2018-09-21 – present Current
UBS Securities Hong Kong Limited RO
RA 1
2017-11-06 – present Current
UBS Securities Asia Limited Rep
RA 1 RA 2
2017-11-06 – present Current
UBS Securities Hong Kong Limited Rep
RA 1 RA 2 RA 7
2015-09-09 – 2016-01-21
Barclays Capital Asia Limited Rep
RA 1 RA 2
2007-06-01 – 2015-05-27
Merrill Lynch (Asia Pacific) Limited Rep
RA 1
2007-06-01 – 2015-05-27
Merrill Lynch Far East Limited Rep
RA 1 RA 2
2007-06-01 – 2010-08-24
Merrill Lynch Futures (Hong Kong) Limited Rep
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/AOY949