Raoul Gustav Preller
This page summarises the Hong Kong Securities and Futures Commission (SFC) public register record for Raoul Gustav Preller ( ), a licensed former licensee with CE reference AJL240. Total licence records on file: 14.
Licence history
| Firm | Role | Regulated activity | From | To |
|---|---|---|---|---|
| SG Securities (HK) Limited 法國興業證券(香港)有限公司 |
Rep | Type 1 - Dealing in securities | 2015-03-04 | 2018-04-13 |
| SG Securities (HK) Limited 法國興業證券(香港)有限公司 |
Rep | Type 2 - Dealing in futures contracts | 2015-03-04 | 2018-04-13 |
| SG Securities (HK) Limited 法國興業證券(香港)有限公司 |
Rep | Type 7 - Providing automated trading services | 2015-03-04 | 2018-04-13 |
| Credit Agricole Securities (Asia) Limited 東方匯理證券(亞洲)有限公司 |
Rep | Type 1 - Dealing in securities | 2008-10-20 | 2011-02-09 |
| J.P. Morgan Broking (Hong Kong) Limited | Rep | Type 4 - Advising on securities | 2008-07-14 | 2008-07-23 |
| J.P. Morgan Securities (Far East) Limited | Rep | Type 4 - Advising on securities | 2008-07-14 | 2008-07-23 |
| J.P. Morgan Broking (Hong Kong) Limited | Rep | Type 5 - Advising on futures contracts | 2008-07-14 | 2008-07-23 |
| J.P. Morgan Broking (Hong Kong) Limited | Rep | Type 1 - Dealing in securities | 2008-06-18 | 2008-07-23 |
| J.P. Morgan Securities (Far East) Limited | Rep | Type 1 - Dealing in securities | 2008-06-18 | 2008-07-23 |
| J.P. Morgan Broking (Hong Kong) Limited | Rep | Type 2 - Dealing in futures contracts | 2008-06-18 | 2008-07-23 |
| Bear Stearns Asia Limited 貝爾斯登亞洲有限公司 |
Rep | Type 1 - Dealing in securities | 2006-09-11 | 2008-07-23 |
| Bear Stearns Asia Limited 貝爾斯登亞洲有限公司 |
Rep | Type 2 - Dealing in futures contracts | 2006-09-11 | 2008-07-23 |
| Deutsche Securities Asia Limited 德意志證券亞洲有限公司 |
Rep | Type 2 - Dealing in futures contracts | 2006-06-14 | 2006-08-16 |
| Deutsche Securities Asia Limited 德意志證券亞洲有限公司 |
Rep | Type 1 - Dealing in securities | 2004-02-09 | 2006-08-16 |