SFC Licences of PECOT III Charles Matthew

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

Institution Role Licences Start date End date
Barclays Bank PLC 1 01 November 2019
Barclays Capital Asia Limited 巴克萊亞洲有限公司 RO 2 09 January 2019 13 May 2022
Barclays Capital Asia Limited 巴克萊亞洲有限公司 RO 1 09 January 2019 13 May 2022
Barclays Capital Asia Limited 巴克萊亞洲有限公司 RE 2 08 May 2018 09 January 2019
Barclays Capital Asia Limited 巴克萊亞洲有限公司 RE 1 08 May 2018 09 January 2019
Credit Suisse (Hong Kong) Limited 瑞士信貸(香港)有限公司 RO 5 27 November 2013 25 March 2017
Credit Suisse Securities (Hong Kong) Limited 瑞士信貸證券(香港)有限公司 RO 1 27 February 2012 25 March 2017
Credit Suisse (Hong Kong) Limited 瑞士信貸(香港)有限公司 RO 2 23 June 2011 25 March 2017
Credit Suisse (Hong Kong) Limited 瑞士信貸(香港)有限公司 RO 7 23 June 2011 01 November 2013
Credit Suisse (Hong Kong) Limited 瑞士信貸(香港)有限公司 RO 1 30 November 2009 25 March 2017
Credit Suisse (Hong Kong) Limited 瑞士信貸(香港)有限公司 RE 7 24 July 2009 23 June 2011
Credit Suisse (Hong Kong) Limited 瑞士信貸(香港)有限公司 RE 2 24 July 2009 23 June 2011
Credit Suisse (Hong Kong) Limited 瑞士信貸(香港)有限公司 RE 1 24 July 2009 30 November 2009
UBS Securities Asia Limited RO 1 27 April 2005 06 March 2007
UBS Securities Asia Limited RE 1 01 April 2003 27 April 2005
UBS Securities Asia Limited RE 4 01 April 2003 24 March 2005
UBS Securities Asia Limited RE 9 01 April 2003 04 February 2005
UBS Securities Asia Limited RE 6 01 April 2003 04 February 2005