SFC Licences of PATTERSON Richard John

Source: Official SFC record
Key: RE = Representative, RO = Responsible Officer, EO = Executive Officer

Institution Role Licences Start date End date
UBS Securities Hong Kong Limited RE 7 24 November 2011 28 May 2013
UBS Securities Asia Limited RO 1 11 November 2010 28 May 2013
UBS Securities Hong Kong Limited RO 1 11 November 2010 28 May 2013
UBS Securities Asia Limited RE 2 08 October 2009 28 May 2013
UBS Securities Asia Limited RE 1 08 October 2009 11 November 2010
UBS Securities Hong Kong Limited RE 1 08 October 2009 11 November 2010
BNP Paribas Securities (Asia) Limited 法國巴黎證券(亞洲)有限公司 RE 1 15 July 2009 23 July 2009
Citigroup Global Markets Hong Kong Futures and Securities Limited RO 1 31 May 2005 19 November 2008
Citigroup Global Markets Asia Limited 花旗環球金融亞洲有限公司 RO 1 31 May 2005 19 November 2008
Citigroup Global Markets Asia Limited 花旗環球金融亞洲有限公司 RO 7 31 May 2005 12 August 2005
Citigroup Global Markets Hong Kong Futures and Securities Limited RE 2 03 June 2004 19 November 2008
Citigroup Global Markets Hong Kong Futures and Securities Limited RE 1 18 November 2003 31 May 2005
Citigroup Global Markets Asia Limited 花旗環球金融亞洲有限公司 RE 1 17 May 2003 31 May 2005