Jon Vaughan Merrick Pratt
This page summarises the Hong Kong Securities and Futures Commission (SFC) public register record for Jon Vaughan Merrick Pratt ( ), a licensed former licensee with CE reference AGN910. Total licence records on file: 17.
Licence history
| Firm | Role | Regulated activity | From | To |
|---|---|---|---|---|
| Barclays Capital Asia Limited 巴克萊亞洲有限公司 |
RO | Type 1 — Dealing in securities | 2014-02-07 | 2016-04-21 |
| Barclays Capital Asia Limited 巴克萊亞洲有限公司 |
RO | Type 6 — Advising on corporate finance | 2014-02-07 | 2016-04-21 |
| Barclays Capital Asia Limited 巴克萊亞洲有限公司 |
Rep | Type 1 — Dealing in securities | 2010-10-11 | 2014-02-07 |
| Barclays Capital Asia Limited 巴克萊亞洲有限公司 |
Rep | Type 4 — Advising on securities | 2010-10-11 | 2016-04-21 |
| Barclays Capital Asia Limited 巴克萊亞洲有限公司 |
Rep | Type 6 — Advising on corporate finance | 2010-10-11 | 2014-02-07 |
| Merrill Lynch (Asia Pacific) Limited | Rep | Type 1 — Dealing in securities | 2006-12-03 | 2009-01-09 |
| Merrill Lynch Far East Limited | Rep | Type 1 — Dealing in securities | 2006-12-03 | 2009-01-09 |
| Merrill Lynch (Asia Pacific) Limited | Rep | Type 4 — Advising on securities | 2006-12-03 | 2009-01-09 |
| Merrill Lynch Far East Limited | Rep | Type 4 — Advising on securities | 2006-12-03 | 2009-01-09 |
| Merrill Lynch (Asia Pacific) Limited | Rep | Type 6 — Advising on corporate finance | 2006-12-03 | 2009-01-09 |
| Merrill Lynch Far East Limited | Rep | Type 6 — Advising on corporate finance | 2006-12-03 | 2009-01-09 |
| Credit Suisse (Hong Kong) Limited 瑞士信貸(香港)有限公司 |
Rep | Type 1 — Dealing in securities | 2005-04-14 | 2006-09-06 |
| Credit Suisse (Hong Kong) Limited 瑞士信貸(香港)有限公司 |
Rep | Type 4 — Advising on securities | 2005-04-14 | 2006-09-06 |
| Credit Suisse (Hong Kong) Limited 瑞士信貸(香港)有限公司 |
Rep | Type 6 — Advising on corporate finance | 2005-04-14 | 2006-09-06 |
| 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 | 2006-08-18 |
| 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 | 2006-08-18 |
| Credit Suisse Securities (Hong Kong) Limited 瑞士信貸證券(香港)有限公司 |
Rep | Type 9 — Asset management | present | 2005-02-15 |