Pecot III, Charles Matthew
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 | 2018-05-08 | 2019-01-09 | Rep | Dealing in securities | 2018-05-08 | 2019-01-09 | RO | Dealing in futures contracts | 2019-01-09 | 2022-05-13 | RO | Dealing in securities | 2019-01-09 | 2022-05-13 |
| 2 | Credit Suisse (Hong Kong) Limited | Rep | Dealing in securities | 2009-07-24 | 2009-11-30 | Rep | Automated trading services | 2009-07-24 | 2011-06-23 | Rep | Dealing in futures contracts | 2009-07-24 | 2011-06-23 | RO | Dealing in securities | 2009-11-30 | 2017-03-25 | RO | Automated trading services | 2011-06-23 | 2013-11-01 | RO | Dealing in futures contracts | 2011-06-23 | 2017-03-25 | RO | Advising on futures contracts | 2013-11-27 | 2017-03-25 |
| 3 | Credit Suisse Securities (Hong Kong) Limited | RO | Dealing in securities | 2012-02-27 | 2017-03-25 |
| 4 | UBS SECURITIES ASIA LIMITED | Rep | Advising on corporate finance | 2005-02-04 | Rep | Asset management | 2005-02-04 | Rep | Advising on securities | 2005-03-24 | Rep | Dealing in securities | 2005-04-27 | RO | Dealing in securities | 2005-04-27 | 2007-03-06 |
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