Nicholas Owen Hassall
This page summarises the Hong Kong Securities and Futures Commission (SFC) public register record for Nicholas Owen Hassall ( ), a licensed former licensee with CE reference ADS279. Total licence records on file: 9.
Licence history
| Firm | Role | Regulated activity | From | To |
|---|---|---|---|---|
| UBS Securities Hong Kong Limited | Rep | Type 6 — Advising on corporate finance | 2016-12-19 | 2017-03-11 |
| UBS Securities Hong Kong Limited | Rep | Type 6 — Advising on corporate finance | 2012-09-18 | 2016-12-18 |
| UBS Securities Hong Kong Limited | RO | Type 6 — Advising on corporate finance | 2012-06-07 | 2012-09-18 |
| Credit Suisse (Hong Kong) Limited 瑞士信貸(香港)有限公司 |
Rep | Type 1 — Dealing in securities | 2005-04-14 | 2007-12-20 |
| Credit Suisse (Hong Kong) Limited 瑞士信貸(香港)有限公司 |
Rep | Type 4 — Advising on securities | 2005-04-14 | 2007-12-20 |
| Credit Suisse (Hong Kong) Limited 瑞士信貸(香港)有限公司 |
Rep | Type 6 — Advising on corporate finance | 2005-04-14 | 2007-12-20 |
| Credit Suisse Securities (Hong Kong) Limited 瑞士信貸證券(香港)有限公司 |
Rep | Type 4 — Advising on securities | present | 2006-08-18 |
| Credit Suisse Securities (Hong Kong) Limited 瑞士信貸證券(香港)有限公司 |
Rep | Type 6 — Advising on corporate finance | present | 2006-08-18 |
| Credit Suisse Securities (Hong Kong) Limited 瑞士信貸證券(香港)有限公司 |
Rep | Type 9 — Asset management | present | 2005-02-15 |