Whale, Patrick Xavier
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 | CLSA LIMITED | Rep | Dealing in securities | 2008-09-10 | 2009-11-10 |
| 2 | Credit Suisse (Hong Kong) Limited | Rep | Dealing in futures contracts | 2021-10-05 | 2021-12-03 | Rep | Dealing in securities | 2021-10-05 | 2021-12-03 |
| 3 | Credit Suisse Securities (Hong Kong) Limited | Rep | Dealing in securities | 2021-10-05 | 2021-12-03 | Rep | Automated trading services | 2021-10-19 | 2021-12-03 |
| 4 | J.P. MORGAN BROKING (HONG KONG) LIMITED | Rep | Advising on futures contracts | 2019-06-10 | 2021-05-28 | Rep | Advising on securities | 2019-06-10 | 2021-05-28 | Rep | Dealing in futures contracts | 2019-06-10 | 2021-05-28 | Rep | Dealing in securities | 2019-06-10 | 2021-05-28 |
| 5 | MARSHALL WACE ASIA LIMITED | Rep | Asset management | 2015-06-17 | 2016-10-28 | Rep | Dealing in securities | 2015-06-17 | 2016-10-28 |
| 6 | Merrill Lynch (Asia Pacific) Limited | Rep | Automated trading services | 2012-12-14 | 2013-09-23 | Rep | Dealing in securities | 2012-12-14 | 2014-04-01 |
| 7 | Merrill Lynch Far East Limited | Rep | Dealing in futures contracts | 2012-12-14 | 2014-04-01 | Rep | Dealing in securities | 2012-12-14 | 2014-04-01 | Rep | Automated trading services | 2013-08-20 | 2014-04-01 |
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