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 | 7 | 25 September 2023 | |
| UBS Securities Hong Kong Limited | RO | 2 | 25 September 2023 | |
| UBS Securities Asia Limited | RO | 2 | 25 September 2023 | |
| 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 | 25 September 2023 |
| UBS Securities Asia Limited | RE | 2 | 16 October 2020 | 25 September 2023 |
| UBS Securities Hong Kong Limited | RE | 1 | 16 October 2020 | 18 January 2021 |
| UBS Securities Asia 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 |