Kao, Richard 高敬倫

HKMA registration number:AE3548

SFC licenses

A person without a starting date was in that role since at least 1-Apr-2003, when the current register began.

Show old organisation names

Current only

Organisation	Role	Activity	From	Until
UBS SECURITIES HONG KONG LIMITED	RO	Advising on corporate finance	2024-01-30	-
	Rep	Advising on corporate finance	2023-10-12	2024-01-30
Credit Suisse (Hong Kong) Limited	RO	Advising on corporate finance	2015-12-10	2023-10-02
	RO	Advising on securities	2015-12-10	2023-10-02
	RO	Dealing in securities	2015-12-10	2023-10-02
	Rep	Advising on corporate finance	2015-11-06	2015-12-10
	Rep	Advising on securities	2015-11-06	2015-12-10
	Rep	Dealing in securities	2015-11-06	2015-12-10
Standard Chartered Securities (Hong Kong) Limited	RO	Advising on corporate finance	2010-02-25	2015-01-08
	RO	Advising on securities	2010-02-25	2015-01-08
	RO	Dealing in securities	2010-02-25	2015-01-08
	Rep	Advising on corporate finance	2009-06-26	2010-02-25
	Rep	Advising on securities	2009-06-26	2010-02-25
	Rep	Dealing in securities	2009-06-26	2010-02-25
GOLDMAN SACHS (ASIA) L.L.C.	Rep	Advising on corporate finance	2007-05-04	2008-11-07
	Rep	Dealing in securities	2007-05-04	2008-11-07
Credit Suisse (Hong Kong) Limited	Rep	Advising on corporate finance	2007-01-04	2007-03-09
	Rep	Advising on securities	2007-01-04	2007-03-09
	Rep	Dealing in securities	2007-01-04	2007-03-09
Credit Suisse Securities (Hong Kong) Limited	Rep	Asset management	2003-04-01	2005-01-03
	Rep	Advising on corporate finance	2003-04-01	2007-03-09
	Rep	Advising on securities	2003-04-01	2007-03-09

HKMA registrations

HKMA relevant-individual registrations, shown separately from SFC licences. EO means executive officer.

HKMA registration number: AE3548

Current registrations only

Institution	Activity	HKMA role	Capacity	From	Until	Status
UBS AG	Dealing in securities	Non-EO	SENIOR MGR INV. BANKING	2023-10-03	—	Current
UBS AG	Advising on securities	Non-EO	SENIOR MGR INV. BANKING	2023-10-03	—	Current
UBS AG	Advising on corporate finance	Non-EO	SENIOR MGR INV. BANKING	2023-10-03	—	Current
渣打銀行 (香港) 有限公司	Dealing in securities	Non-EO	—	2015-03-07	2015-09-25	Former
渣打銀行 (香港) 有限公司	Advising on securities	Non-EO	—	2015-03-07	2015-09-25	Former
渣打銀行 (香港) 有限公司	Advising on corporate finance	Non-EO	—	2015-03-07	2015-09-25	Former
渣打銀行 (香港) 有限公司	Dealing in securities	EO	—	2012-08-30	2015-01-07	Former
渣打銀行 (香港) 有限公司	Advising on securities	EO	—	2012-08-30	2015-01-07	Former
渣打銀行 (香港) 有限公司	Advising on corporate finance	EO	—	2012-08-30	2015-01-07	Former
渣打銀行 (香港) 有限公司	Dealing in securities	Non-EO	—	2009-07-11	2012-08-29	Former
渣打銀行 (香港) 有限公司	Advising on securities	Non-EO	—	2009-07-11	2012-08-29	Former
渣打銀行 (香港) 有限公司	Advising on corporate finance	Non-EO	—	2009-07-11	2012-08-29	Former