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BARBA Romain Pierre Dragoslav

CE AVC249Licensed IndividualResponsible OfficerSFO licence active
Official SFC record

BARBA Romain Pierre Dragoslav (CE number AVC249) is an individual licensed by the Hong Kong SFC. First licensed on 2010-04-27. Their SFC licence is currently active. Accredited for regulated activities Type 1 (Securities dealing), Type 2 (Futures dealing). Currently a responsible officer at 2 firms.

Regulated Activities (on record) (2)

RA 1 Dealing in Securities
RA 2 Dealing in Futures Contracts

Roles & Accreditations (2)

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

Licence Record (5)

2025-11-28 – present Current
UBS Securities Asia Limited RO
RA 1 RA 2
2025-11-28 – present Current
UBS Securities Hong Kong Limited RO
RA 1 RA 2
2024-02-05 – 2025-11-28
UBS Securities Asia Limited Rep
RA 1 RA 2
2024-02-05 – 2025-11-28
UBS Securities Hong Kong Limited Rep
RA 1 RA 2
2010-04-27 – 2016-06-30
SG Securities (HK) Limited Rep
RA 1

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/AVC249