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NIWA Koichi

CE AUW702Licensed IndividualNo active licence
Official SFC record

NIWA Koichi (CE number AUW702) is an individual licensed by the Hong Kong SFC. First licensed on 2010-03-15. Their SFC licence is currently not active. Accredited for regulated activity Type 4 (Advising on securities).

Regulated Activities (on record) (1)

RA 4 Advising on Securities

Roles & Accreditations (1)

CapacityCompany / Institution
RepresentativeUBS Securities Asia Limited

Licence Record (3)

2026-03-27 – 2026-04-02
UBS Securities Asia Limited Rep
RA 4
2017-07-17 – 2025-04-03
Citigroup Global Markets Asia Limited Rep
RA 4
2010-03-15 – 2010-03-16
Mizuho Securities Asia Limited Rep
RA 4

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/AUW702