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FARTHING Jon Kristofer

CE BBC926Licensed IndividualResponsible OfficerSFO licence active
Official SFC record

FARTHING Jon Kristofer (CE number BBC926) is an individual licensed by the Hong Kong SFC. First licensed on 2013-04-10. Their SFC licence is currently active. Accredited for regulated activities Type 1 (Securities dealing), Type 2 (Futures dealing), Type 9 (Asset management). Currently a responsible officer at 2 firms.

Regulated Activities (on record) (3)

RA 1 Dealing in Securities
RA 2 Dealing in Futures Contracts
RA 9 Asset Management

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 (6)

2026-08-04 – present Current
UBS Securities Hong Kong Limited Rep
RA 2
2026-08-04 – present Current
UBS Securities Asia Limited RO
RA 1
2026-08-04 – present Current
UBS Securities Hong Kong Limited RO
RA 1
2017-10-30 – present Current
UBS Securities Asia Limited Rep
RA 1 RA 2
2015-05-04 – 2017-06-15
Jefferies Hong Kong Limited Rep
RA 1
2013-04-10 – 2015-03-27
Athos Capital Limited Rep
RA 9

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/BBC926