Jon Vaughan Merrick Pratt

CE No. AGN910 Ceased

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

FirmRoleRegulated activityFromTo
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

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