Rick Wai Pang Sze
施維鵬
This page summarises the Hong Kong Securities and Futures Commission (SFC) public register record for Rick Wai Pang Sze (施維鵬), a licensed Representative with CE reference AGK899. Currently licensed at 1 firm(s): Barclays Capital Asia Limited. Active regulated activities: Type 1 - Dealing in securities; Type 2 - Dealing in futures contracts. Total licence records on file: 18.
Licence history
| Firm | Role | Regulated activity | From | To |
|---|---|---|---|---|
| Barclays Capital Asia Limited 巴克萊亞洲有限公司 |
Rep | Type 1 - Dealing in securities | 2022-06-24 | present |
| Barclays Capital Asia Limited 巴克萊亞洲有限公司 |
Rep | Type 2 - Dealing in futures contracts | 2022-06-24 | present |
| Merrill Lynch (Asia Pacific) Limited | Rep | Type 1 - Dealing in securities | 2011-08-04 | 2022-04-12 |
| Merrill Lynch Far East Limited | Rep | Type 1 - Dealing in securities | 2011-08-04 | 2022-04-12 |
| Merrill Lynch Far East Limited | Rep | Type 2 - Dealing in futures contracts | 2011-08-04 | 2022-04-12 |
| Goldman Sachs (Asia) L.L.C. 高盛(亞洲)有限責任公司 |
Rep | Type 7 - Providing automated trading services | 2009-02-20 | 2011-05-04 |
| Goldman Sachs (Asia) L.L.C. 高盛(亞洲)有限責任公司 |
Rep | Type 1 - Dealing in securities | 2004-07-05 | 2011-05-04 |
| Goldman Sachs (Asia) Securities Limited 高盛(亞洲)證券有限公司 |
Rep | Type 1 - Dealing in securities | 2004-07-05 | 2011-05-04 |
| Goldman Sachs Futures (Asia) Limited 高盛期貨(亞洲)有限公司 |
Rep | Type 2 - Dealing in futures contracts | 2004-07-05 | 2011-05-04 |
| Credit Suisse Securities (Hong Kong) Limited 瑞士信貸證券(香港)有限公司 |
Rep | Type 1 - Dealing in securities | present | 2004-04-07 |
| Credit Suisse Futures (Hong Kong) Limited | Rep | Type 2 - Dealing in futures contracts | present | 2004-04-07 |
| 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 | 2004-04-07 |
| Credit Suisse Futures (Hong Kong) Limited | Rep | Type 5 - Advising on futures contracts | present | 2004-04-07 |
| 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 | 2004-04-07 |
| Credit Suisse Futures (Hong Kong) Limited | Rep | Type 7 - Providing automated trading services | present | 2004-04-07 |
| 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 Futures (Hong Kong) Limited | Rep | Type 9 - Asset management | present | 2004-04-07 |
| Credit Suisse Securities (Hong Kong) Limited 瑞士信貸證券(香港)有限公司 |
Rep | Type 9 - Asset management | present | 2004-04-07 |