SFC Licences of DE GARIDEL-THORON Thomas Henri S. M.

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 RO 1 18 January 2021
UBS Securities Asia Limited RO 1 18 January 2021
UBS Securities Hong Kong Limited RE 2 16 October 2020
UBS Securities Asia Limited RE 2 16 October 2020
UBS Securities Asia Limited RE 1 16 October 2020 18 January 2021
UBS Securities Hong Kong Limited RE 1 16 October 2020 18 January 2021
HSBC Securities Brokers (Asia) Limited 滙豐證券經紀(亞洲)有限公司 RO 1 30 September 2016 30 June 2020
HSBC Securities Brokers (Asia) Limited 滙豐證券經紀(亞洲)有限公司 RE 1 26 September 2014 30 September 2016