Prashant Dwivedi
This page summarises the Hong Kong Securities and Futures Commission (SFC) public register record for Prashant Dwivedi, a licensed former licensee with CE reference BPN735. This person has 3.9 years of SFC licence history. Total licence records on file: 6.
Information
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Licence history
| Firm | Role | Regulated activity | From | To |
|---|---|---|---|---|
| UBS Securities Asia Limited | Rep | Type 1 - Dealing in securities | 2023-11-03 | 2024-04-25 |
| UBS Securities Hong Kong Limited | Rep | Type 1 - Dealing in securities | 2023-11-03 | 2024-04-25 |
| Credit Suisse (Hong Kong) Limited 瑞士信貸(香港)有限公司 |
RO | Type 1 - Dealing in securities | 2022-02-10 | 2023-10-08 |
| Credit Suisse (Hong Kong) Limited 瑞士信貸(香港)有限公司 |
RO | Type 4 - Advising on securities | 2022-02-10 | 2023-10-08 |
| Credit Suisse (Hong Kong) Limited 瑞士信貸(香港)有限公司 |
Rep | Type 1 - Dealing in securities | 2020-04-21 | 2022-02-10 |
| Credit Suisse (Hong Kong) Limited 瑞士信貸(香港)有限公司 |
Rep | Type 4 - Advising on securities | 2020-04-21 | 2022-02-10 |