Sze, Rick Wai Pang 施維鵬

show old organisation names

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
2 BARCLAYS CAPITAL ASIA LIMITED Rep Dealing in securities 2022-06-24
3 Credit Suisse Securities (Hong Kong) Limited Rep Automated trading services 2003-08-22
4 Credit Suisse Futures (Hong Kong) Limited Rep Advising on futures contracts 2004-04-07
5 Credit Suisse Futures (Hong Kong) Limited Rep Asset management 2004-04-07
6 Credit Suisse Futures (Hong Kong) Limited Rep Automated trading services 2004-04-07
7 Credit Suisse Futures (Hong Kong) Limited Rep Dealing in futures contracts 2004-04-07
8 Credit Suisse Securities (Hong Kong) Limited Rep Advising on corporate finance 2004-04-07
9 Credit Suisse Securities (Hong Kong) Limited Rep Advising on securities 2004-04-07
10 Credit Suisse Securities (Hong Kong) Limited Rep Asset management 2004-04-07
11 Credit Suisse Securities (Hong Kong) Limited Rep Dealing in securities 2004-04-07
12 GOLDMAN SACHS (ASIA) L.L.C. Rep Dealing in securities 2004-07-05 2011-05-04
13 GOLDMAN SACHS (ASIA) SECURITIES LIMITED Rep Dealing in securities 2004-07-05 2011-05-04
14 GOLDMAN SACHS FUTURES (ASIA) LIMITED Rep Dealing in futures contracts 2004-07-05 2011-05-04
15 GOLDMAN SACHS (ASIA) L.L.C. Rep Automated trading services 2009-02-20 2011-05-04
16 Merrill Lynch (Asia Pacific) Limited Rep Dealing in securities 2011-08-04 2022-04-12
17 Merrill Lynch Far East Limited Rep Dealing in futures contracts 2011-08-04 2022-04-12
18 Merrill Lynch Far East Limited Rep Dealing in securities 2011-08-04 2022-04-12

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