Patterson, Richard John
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 | BNP PARIBAS SECURITIES (ASIA) LIMITED | Rep | Dealing in securities | 2009-07-15 | 2009-07-23 |
| 2 | Citigroup Global Markets Asia Limited | Rep | Dealing in securities | 2003-05-17 | 2005-05-31 | RO | Automated trading services | 2005-05-31 | 2005-08-12 | RO | Dealing in securities | 2005-05-31 | 2008-11-19 |
| 3 | CITIGROUP GLOBAL MARKETS HONG KONG FUTURES AND SECURITIES LIMITED | Rep | Dealing in securities | 2003-11-18 | 2005-05-31 | Rep | Dealing in futures contracts | 2004-06-03 | 2008-11-19 | RO | Dealing in securities | 2005-05-31 | 2008-11-19 |
| 4 | UBS SECURITIES ASIA LIMITED | Rep | Dealing in securities | 2009-10-08 | 2010-11-11 | Rep | Dealing in futures contracts | 2009-10-08 | 2013-05-28 | RO | Dealing in securities | 2010-11-11 | 2013-05-28 |
| 5 | UBS SECURITIES HONG KONG LIMITED | Rep | Dealing in securities | 2009-10-08 | 2010-11-11 | RO | Dealing in securities | 2010-11-11 | 2013-05-28 | Rep | Automated trading services | 2011-11-24 | 2013-05-28 |
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