Sze, Rick Wai Pang 施維鵬
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 | 2022-06-24 | Rep | Dealing in securities | 2022-06-24 |
| 2 | Credit Suisse Futures (Hong Kong) Limited | Rep | Advising on futures contracts | 2004-04-07 | Rep | Asset management | 2004-04-07 | Rep | Automated trading services | 2004-04-07 | Rep | Dealing in futures contracts | 2004-04-07 |
| 3 | Credit Suisse Securities (Hong Kong) Limited | Rep | Automated trading services | 2003-08-22 | Rep | Advising on corporate finance | 2004-04-07 | Rep | Advising on securities | 2004-04-07 | Rep | Asset management | 2004-04-07 | Rep | Dealing in securities | 2004-04-07 |
| 4 | GOLDMAN SACHS (ASIA) L.L.C. | Rep | Dealing in securities | 2004-07-05 | 2011-05-04 | Rep | Automated trading services | 2009-02-20 | 2011-05-04 |
| 5 | GOLDMAN SACHS (ASIA) SECURITIES LIMITED | Rep | Dealing in securities | 2004-07-05 | 2011-05-04 |
| 6 | GOLDMAN SACHS FUTURES (ASIA) LIMITED | Rep | Dealing in futures contracts | 2004-07-05 | 2011-05-04 |
| 7 | Merrill Lynch (Asia Pacific) Limited | Rep | Dealing in securities | 2011-08-04 | 2022-04-12 |
| 8 | Merrill Lynch Far East Limited | Rep | Dealing in futures contracts | 2011-08-04 | 2022-04-12 | Rep | Dealing in securities | 2011-08-04 | 2022-04-12 |
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