Paul Richard Carroll Jeffery
This page summarises the Hong Kong Securities and Futures Commission (SFC) public register record for Paul Richard Carroll Jeffery ( ), a licensed former licensee with CE reference AFF889. Total licence records on file: 17.
Licence history
| Firm | Role | Regulated activity | From | To |
|---|---|---|---|---|
| Credit Suisse (Hong Kong) Limited 瑞士信貸(香港)有限公司 |
Rep | Type 1 — Dealing in securities | 2011-03-31 | 2012-07-04 |
| Credit Suisse Securities (Hong Kong) Limited 瑞士信貸證券(香港)有限公司 |
Rep | Type 1 — Dealing in securities | 2011-03-31 | 2012-07-04 |
| Credit Suisse (Hong Kong) Limited 瑞士信貸(香港)有限公司 |
Rep | Type 2 — Dealing in futures contracts | 2011-03-31 | 2012-07-04 |
| Credit Suisse (Hong Kong) Limited 瑞士信貸(香港)有限公司 |
Rep | Type 7 — Providing automated trading services | 2011-03-31 | 2012-07-04 |
| WFM Asia (HK) Limited | Rep | Type 4 — Advising on securities | 2008-07-04 | 2010-11-30 |
| WFM Asia (HK) Limited | Rep | Type 5 — Advising on futures contracts | 2008-07-04 | 2010-11-30 |
| WFM Asia (HK) Limited | Rep | Type 9 — Asset management | 2008-07-04 | 2010-11-30 |
| Credit Suisse Futures (Hong Kong) Limited | Rep | Type 2 — Dealing in futures contracts | 2007-08-24 | 2008-05-09 |
| Credit Suisse Futures (Hong Kong) Limited | Rep | Type 7 — Providing automated trading services | 2007-08-24 | 2008-05-09 |
| Credit Suisse Securities (Hong Kong) Limited 瑞士信貸證券(香港)有限公司 |
Rep | Type 1 — Dealing in securities | 2006-12-21 | 2008-05-09 |
| Credit Suisse (Hong Kong) Limited 瑞士信貸(香港)有限公司 |
Rep | Type 1 — Dealing in securities | 2005-01-05 | 2008-05-09 |
| Credit Suisse Securities (Hong Kong) Limited 瑞士信貸證券(香港)有限公司 |
RO | Type 1 — Dealing in securities | 2003-08-26 | 2006-12-21 |
| Credit Suisse Securities (Hong Kong) Limited 瑞士信貸證券(香港)有限公司 |
Rep | Type 1 — Dealing in securities | present | 2003-08-26 |
| 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 | 2003-07-30 |
| 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 | 2003-07-30 |
| Credit Suisse Securities (Hong Kong) Limited 瑞士信貸證券(香港)有限公司 |
Rep | Type 7 — Providing automated trading services | present | 2003-08-22 |
| Credit Suisse Securities (Hong Kong) Limited 瑞士信貸證券(香港)有限公司 |
Rep | Type 9 — Asset management | present | 2003-07-30 |