Rick Wai Pang Sze
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. This person has 22.6 years of SFC licence history. Total licence records on file: 18.
Information
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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 | Pre-2003 | 2004-04-07 |
| Credit Suisse Futures (Hong Kong) Limited | Rep | Type 2 - Dealing in futures contracts | Pre-2003 | 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 | Pre-2003 | 2004-04-07 |
| Credit Suisse Futures (Hong Kong) Limited | Rep | Type 5 - Advising on futures contracts | Pre-2003 | 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 | Pre-2003 | 2004-04-07 |
| Credit Suisse Futures (Hong Kong) Limited | Rep | Type 7 - Providing automated trading services | Pre-2003 | 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 | Pre-2003 | 2003-08-22 |
| Credit Suisse Futures (Hong Kong) Limited | Rep | Type 9 - Asset management | Pre-2003 | 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 | Pre-2003 | 2004-04-07 |
Worked alongside
The 19 closest colleagues, strongest tie first — individuals licensed at the same firm as Rick Wai Pang Sze during overlapping periods. Ranked by how long they overlapped and how similar their regulated activities were, with shared time at a smaller firm weighted more than at a large one. See the detailed formula.