Pantone, Nicola
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 | DEUTSCHE SECURITIES ASIA LIMITED | Rep | Dealing in futures contracts | 2006-08-11 | 2008-01-17 | Rep | Dealing in securities | 2006-08-11 | 2008-01-17 |
| 2 | HSBC BROKING FUTURES (HONG KONG) LIMITED | Rep | Dealing in futures contracts | 2014-03-06 | 2016-08-19 | RO | Dealing in futures contracts | 2016-08-19 | 2021-07-13 |
| 3 | SG SECURITIES (HK) LIMITED | Rep | Dealing in securities | 2008-07-24 | 2011-07-14 | Rep | Dealing in futures contracts | 2008-12-17 | 2011-07-14 |
| 4 | UBS SECURITIES ASIA LIMITED | Rep | Dealing in futures contracts | 2021-12-17 | Rep | Dealing in securities | 2022-01-12 | 2023-10-20 | RO | Dealing in securities | 2023-10-20 |
| 5 | UBS SECURITIES HONG KONG LIMITED | Rep | Dealing in futures contracts | 2021-12-17 | Rep | Automated trading services | 2022-01-12 | Rep | Dealing in securities | 2022-01-12 | 2023-10-20 | RO | Dealing in securities | 2023-10-20 |
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