Andrew Bogen Caplan
This page summarises the Hong Kong Securities and Futures Commission (SFC) public register record for Andrew Bogen Caplan, a licensed former licensee with CE reference AXL861. This person has 1.3 years of SFC licence history. Total licence records on file: 2.
Information
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Licence history
| Firm | Role | Regulated activity | From | To |
|---|---|---|---|---|
| Barclays Capital Asia Limited 巴克萊亞洲有限公司 |
Rep | Type 1 - Dealing in securities | 2011-06-23 | 2012-09-28 |
| Barclays Capital Asia Limited 巴克萊亞洲有限公司 |
Rep | Type 2 - Dealing in futures contracts | 2011-06-23 | 2012-09-28 |