Best, David Gareth
SFC licenses
Rep=Representative, RO=Responsible Officer. A person without a starting date was in that role since at least 1-Apr-2003 when the current register began.
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Organisation | Role | Activity | From | Until | |
---|---|---|---|---|---|
1 | Credit Suisse (Hong Kong) Limited | Rep | Dealing in securities | 2004-05-07 | 2006-08-28 | Rep | Automated trading services | 2008-12-23 | 2010-02-19 | Rep | Dealing in futures contracts | 2008-12-23 | 2010-02-19 | Rep | Dealing in securities | 2008-12-23 | 2010-02-19 |
2 | Credit Suisse Futures (Hong Kong) Limited | Rep | Dealing in futures contracts | 2004-05-07 | 2006-08-28 | Rep | Automated trading services | 2005-04-14 | 2006-08-28 |
3 | Credit Suisse Securities (Hong Kong) Limited | Rep | Dealing in securities | 2006-04-13 | 2006-08-28 | Rep | Dealing in securities | 2008-12-23 | 2010-02-19 |
4 | NOMURA INTERNATIONAL (HONG KONG) LIMITED | Rep | Dealing in futures contracts | 2018-07-26 | 2022-06-27 | Rep | Dealing in securities | 2018-07-26 | 2022-06-27 |
5 | UBS DERIVATIVES HONG KONG LIMITED | Rep | Dealing in futures contracts | 2011-03-22 | 2011-04-15 | Rep | Dealing in futures contracts | 2013-04-11 | 2016-12-18 |
6 | UBS SECURITIES ASIA LIMITED | Rep | Dealing in futures contracts | 2011-03-22 | 2011-04-15 | Rep | Dealing in securities | 2011-03-22 | 2011-04-15 | Rep | Dealing in futures contracts | 2011-11-08 | 2018-04-28 | Rep | Dealing in securities | 2011-11-08 | 2018-04-28 | Rep | Dealing in futures contracts | 2022-10-25 | Rep | Dealing in securities | 2022-10-25 |
7 | UBS SECURITIES HONG KONG LIMITED | Rep | Dealing in securities | 2011-03-22 | 2011-04-15 | Rep | Dealing in securities | 2013-04-11 | 2016-12-18 | Rep | Dealing in futures contracts | 2016-12-19 | 2018-04-28 | Rep | Dealing in securities | 2016-12-19 | 2018-04-28 | Rep | Dealing in futures contracts | 2022-10-25 | Rep | Dealing in securities | 2022-10-25 |
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