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

FALIPOU Fabien Jean Roger

CE AZY951Licensed IndividualResponsible OfficerExecutive OfficerSFO licence active
Official SFC record

FALIPOU Fabien Jean Roger (CE number AZY951) is an individual licensed by the Hong Kong SFC. First licensed on 2012-08-06. 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 (3)

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

Licence Record (8)

2021-12-03 – present Current
UBS Securities Asia Limited RO
RA 1 RA 2
2021-12-03 – present Current
UBS Securities Hong Kong Limited RO
RA 1 RA 2
2017-11-13 – 2021-12-03
UBS Securities Asia Limited Rep
RA 1 RA 2
2017-11-13 – 2021-12-03
UBS Securities Hong Kong Limited Rep
RA 1 RA 2
2016-10-11 – 2017-07-15
Goldman Sachs (Asia) Securities Limited Rep
RA 1 RA 2
2012-08-06 – 2017-07-15
Goldman Sachs (Asia) L.L.C. Rep
RA 1
2012-08-06 – 2016-10-10
Goldman Sachs (Asia) Securities Limited Rep
RA 1
2012-08-06 – 2016-10-10
Goldman Sachs Futures (Asia) 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/AZY951