Andrew Jonathan Rickards
This page summarises the Hong Kong Securities and Futures Commission (SFC) public register record for Andrew Jonathan Rickards ( ), a licensed former licensee with CE reference AEO602. Total licence records on file: 9.
Licence history
| Firm | Role | Regulated activity | From | To |
|---|---|---|---|---|
| Providence Equity Asia Limited 普維投資亞洲有限公司 |
RO | Type 1 — Dealing in securities | 2007-08-23 | 2008-05-30 |
| Providence Equity Asia Limited 普維投資亞洲有限公司 |
RO | Type 4 — Advising on securities | 2007-08-23 | 2008-05-30 |
| Rothschild & Co Hong Kong Limited 羅斯柴爾德恩可香港有限公司 |
RO | Type 1 — Dealing in securities | 2005-04-27 | 2007-04-10 |
| Rothschild & Co Hong Kong Limited 羅斯柴爾德恩可香港有限公司 |
RO | Type 4 — Advising on securities | 2005-04-27 | 2007-04-10 |
| Rothschild & Co Hong Kong Limited 羅斯柴爾德恩可香港有限公司 |
RO | Type 6 — Advising on corporate finance | 2005-04-27 | 2007-04-10 |
| Goldman Sachs (Asia) L.L.C. 高盛(亞洲)有限責任公司 |
Rep | Type 1 — Dealing in securities | present | 2003-09-13 |
| Goldman Sachs (Asia) L.L.C. 高盛(亞洲)有限責任公司 |
Rep | Type 4 — Advising on securities | present | 2003-09-13 |
| Goldman Sachs (Asia) L.L.C. 高盛(亞洲)有限責任公司 |
Rep | Type 6 — Advising on corporate finance | present | 2003-09-13 |
| Goldman Sachs (Asia) L.L.C. 高盛(亞洲)有限責任公司 |
Rep | Type 9 — Asset management | present | 2003-09-13 |