Sze, Rick Wai Pang 施維鵬

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

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