Nial Dennis Henry Gooding
This page summarises the Hong Kong Securities and Futures Commission (SFC) public register record for Nial Dennis Henry Gooding ( ), CE reference ABS538. 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 | present | 2010-03-19 |
| UBS Securities Asia Limited | Rep | Type 4 — Advising on securities | present | 2005-03-24 |
| UBS Securities Asia Limited | Rep | Type 6 — Advising on corporate finance | present | 2005-02-04 |
| UBS Securities Asia Limited | Rep | Type 9 — Asset management | present | 2005-02-04 |