Richard John Patterson
This page summarises the Hong Kong Securities and Futures Commission (SFC) public register record for Richard John Patterson ( ), a licensed former licensee with CE reference AFK071. Total licence records on file: 13.
Licence history
| Firm | Role | Regulated activity | From | To |
|---|---|---|---|---|
| UBS Securities Hong Kong Limited | Rep | Type 7 — Providing automated trading services | 2011-11-24 | 2013-05-28 |
| UBS Securities Asia Limited | RO | Type 1 — Dealing in securities | 2010-11-11 | 2013-05-28 |
| UBS Securities Hong Kong Limited | RO | Type 1 — Dealing in securities | 2010-11-11 | 2013-05-28 |
| UBS Securities Asia Limited | Rep | Type 1 — Dealing in securities | 2009-10-08 | 2010-11-11 |
| UBS Securities Hong Kong Limited | Rep | Type 1 — Dealing in securities | 2009-10-08 | 2010-11-11 |
| UBS Securities Asia Limited | Rep | Type 2 — Dealing in futures contracts | 2009-10-08 | 2013-05-28 |
| BNP Paribas Securities (Asia) Limited 法國巴黎證券(亞洲)有限公司 |
Rep | Type 1 — Dealing in securities | 2009-07-15 | 2009-07-23 |
| Citigroup Global Markets Asia Limited 花旗環球金融亞洲有限公司 |
RO | Type 1 — Dealing in securities | 2005-05-31 | 2008-11-19 |
| Citigroup Global Markets Hong Kong Futures and Securities Limited | RO | Type 1 — Dealing in securities | 2005-05-31 | 2008-11-19 |
| Citigroup Global Markets Asia Limited 花旗環球金融亞洲有限公司 |
RO | Type 7 — Providing automated trading services | 2005-05-31 | 2005-08-12 |
| Citigroup Global Markets Hong Kong Futures and Securities Limited | Rep | Type 2 — Dealing in futures contracts | 2004-06-03 | 2008-11-19 |
| Citigroup Global Markets Hong Kong Futures and Securities Limited | Rep | Type 1 — Dealing in securities | 2003-11-18 | 2005-05-31 |
| Citigroup Global Markets Asia Limited 花旗環球金融亞洲有限公司 |
Rep | Type 1 — Dealing in securities | 2003-05-17 | 2005-05-31 |