Nial Dennis Henry Gooding
This page summarises the Hong Kong Securities and Futures Commission (SFC) public register record for Nial Dennis Henry Gooding, a licensed former licensee with CE reference ABS538. This person has 20.2 years of SFC licence history. Total licence records on file: 8.
Licence history
| Firm | Role | Regulated activity | From | To |
|---|---|---|---|---|
| GCIS Limited | RO | Type 9 - Asset management | 2014-10-22 | 2025-03-31 |
| GCIS Limited | Rep | Type 9 - Asset management | 2014-05-05 | 2014-10-22 |
| Northwest Investment Management (Hong Kong) Limited | Rep | Type 9 - Asset management | 2010-04-30 | 2012-08-27 |
| UBS Securities Asia Limited | Rep | Type 2 - Dealing in futures contracts | 2008-06-05 | 2010-03-19 |
| UBS Securities Asia Limited | Rep | Type 1 - Dealing in securities | Pre-2003 | 2010-03-19 |
| UBS Securities Asia Limited | Rep | Type 4 - Advising on securities | Pre-2003 | 2005-03-24 |
| UBS Securities Asia Limited | Rep | Type 6 - Advising on corporate finance | Pre-2003 | 2005-02-04 |
| UBS Securities Asia Limited | Rep | Type 9 - Asset management | Pre-2003 | 2005-02-04 |
Worked alongside
The 16 closest colleagues, strongest tie first — individuals licensed at the same firm as Nial Dennis Henry Gooding during overlapping periods. Ranked by how long they overlapped and how similar their regulated activities were, with shared time at a smaller firm weighted more than at a large one.