Caroline Charlotte Basham
This page summarises the Hong Kong Securities and Futures Commission (SFC) public register record for Caroline Charlotte Basham, a licensed former licensee with CE reference AFU065. This person has 2.0 years of SFC licence history. Total licence records on file: 5.
Information
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Licence history
| Firm | Role | Regulated activity | From | To |
|---|---|---|---|---|
| BNP Paribas Securities (Asia) Limited 法國巴黎證券(亞洲)有限公司 |
Rep | Type 1 - Dealing in securities | 2008-08-15 | 2009-04-02 |
| UBS Securities Asia Limited | Rep | Type 1 - Dealing in securities | Pre-2003 | 2004-08-17 |
| UBS Securities Asia Limited | Rep | Type 4 - Advising on securities | Pre-2003 | 2004-08-17 |
| UBS Securities Asia Limited | Rep | Type 6 - Advising on corporate finance | Pre-2003 | 2004-08-17 |
| UBS Securities Asia Limited | Rep | Type 9 - Asset management | Pre-2003 | 2004-08-17 |