SFC Licences of AUGARDE Thomas William
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 | 09 October 2023 | |
| UBS Securities Hong Kong Limited | RE | 2 | 09 October 2023 | |
| UBS Securities Hong Kong Limited | RE | 1 | 09 October 2023 | |
| UBS Securities Asia Limited | RE | 2 | 09 October 2023 | |
| UBS Securities Asia Limited | RE | 1 | 09 October 2023 | |
| Credit Suisse Securities (Hong Kong) Limited 瑞士信貸證券(香港)有限公司 | RE | 7 | 05 June 2017 | 01 September 2023 |
| Credit Suisse Securities (Hong Kong) Limited 瑞士信貸證券(香港)有限公司 | RE | 1 | 26 April 2016 | 01 September 2023 |
| Credit Suisse (Hong Kong) Limited 瑞士信貸(香港)有限公司 | RE | 1 | 26 April 2016 | 01 September 2023 |
| Credit Suisse (Hong Kong) Limited 瑞士信貸(香港)有限公司 | RE | 2 | 26 April 2016 | 01 September 2023 |