Patterson, Richard John Hong Kong SFC License Details (ID 96739)

Patterson, Richard John Hong Kong SFC License Details (ID 96739)

关键资料证监会牌照公开纪律行动

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没有开始日期的人士至少自现行登记册于2003年4月1日启用时起已担任该职位。

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机构	角色	受规管活动	开始日期	结束日期
UBS SECURITIES HONG KONG LIMITED	Rep	提供自动化交易服务	2011-11-24	2013-05-28
UBS SECURITIES ASIA LIMITED	RO	证券交易	2010-11-11	2013-05-28
UBS SECURITIES HONG KONG LIMITED	RO	证券交易	2010-11-11	2013-05-28
UBS SECURITIES ASIA LIMITED	Rep	证券交易	2009-10-08	2010-11-11
	Rep	期货合约交易	2009-10-08	2013-05-28
UBS SECURITIES HONG KONG LIMITED	Rep	证券交易	2009-10-08	2010-11-11
BNP PARIBAS SECURITIES (ASIA) LIMITED	Rep	证券交易	2009-07-15	2009-07-23
Citigroup Global Markets Asia Limited	RO	提供自动化交易服务	2005-05-31	2005-08-12
	RO	证券交易	2005-05-31	2008-11-19
CITIGROUP GLOBAL MARKETS HONG KONG FUTURES AND SECURITIES LIMITED	RO	证券交易	2005-05-31	2008-11-19
	Rep	期货合约交易	2004-06-03	2008-11-19
	Rep	证券交易	2003-11-18	2005-05-31
Citigroup Global Markets Asia Limited	Rep	证券交易	2003-05-17	2005-05-31