Whipkey, Sean Patrick
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 | BARCLAYS CAPITAL ASIA LIMITED | Rep | Dealing in futures contracts | 2012-01-19 | 2014-03-25 | Rep | Dealing in securities | 2012-01-19 | 2014-03-25 |
| 2 | Credit Suisse (Hong Kong) Limited | Rep | Dealing in futures contracts | 2014-06-06 | 2016-03-19 | Rep | Dealing in securities | 2014-06-06 | 2016-03-19 |
| 3 | Credit Suisse Securities (Hong Kong) Limited | Rep | Dealing in securities | 2014-06-06 | 2016-03-19 | Rep | Automated trading services | 2015-01-27 | 2016-03-19 |
| 4 | DEUTSCHE SECURITIES ASIA LIMITED | Rep | Dealing in futures contracts | 2016-08-01 | 2018-06-05 | Rep | Dealing in securities | 2016-08-01 | 2018-06-05 |
| 5 | Privium Fund Management (HK) Limited | Rep | Asset management | 2024-10-25 |
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