Hosie, Neil Cameron
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 | Advising on securities | 2017-07-17 | 2017-09-21 | Rep | Dealing in securities | 2017-07-17 | 2017-09-21 | Rep | Dealing in futures contracts | 2017-07-17 | 2020-03-04 | RO | Advising on securities | 2017-09-21 | 2023-09-15 | RO | Dealing in securities | 2017-09-21 | 2023-09-15 | RO | Advising on futures contracts | 2020-03-04 | 2023-09-15 | RO | Dealing in futures contracts | 2020-03-04 | 2023-09-15 |
| 2 | Credit Suisse Securities (Hong Kong) Limited | Rep | Automated trading services | 2017-07-17 | 2017-09-21 | Rep | Dealing in securities | 2017-07-17 | 2017-09-21 | RO | Advising on securities | 2017-09-21 | 2023-09-15 | RO | Automated trading services | 2017-09-21 | 2023-09-15 | RO | Dealing in securities | 2017-09-21 | 2023-09-15 |
| 3 | DEUTSCHE SECURITIES ASIA LIMITED | Rep | Dealing in securities | 2004-07-02 | 2009-03-26 | RO | Dealing in securities | 2009-03-26 | 2017-03-31 | RO | Advising on securities | 2009-05-13 | 2017-03-31 | RO | Automated trading services | 2010-04-16 | 2017-03-31 |
| 4 | UBS SECURITIES ASIA LIMITED | Rep | Advising on corporate finance | 2004-05-28 | Rep | Advising on futures contracts | 2004-05-28 | Rep | Advising on securities | 2004-05-28 | Rep | Asset management | 2004-05-28 | Rep | Dealing in futures contracts | 2004-05-28 | Rep | Dealing in securities | 2004-05-28 |
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