Andrea Casati
This page summarises the Hong Kong Securities and Futures Commission (SFC) public register record for Andrea Casati ( ), a licensed former licensee with CE reference AMW488. Total licence records on file: 15.
Licence history
| Firm | Role | Regulated activity | From | To |
|---|---|---|---|---|
| UBS Securities Hong Kong Limited | Rep | Type 6 — Advising on corporate finance | 2017-05-16 | 2019-12-03 |
| J.P. Morgan Securities (Far East) Limited | Rep | Type 1 — Dealing in securities | 2014-09-03 | 2015-05-20 |
| J.P. Morgan Securities (Far East) Limited | Rep | Type 4 — Advising on securities | 2014-09-03 | 2015-05-20 |
| J.P. Morgan Securities (Far East) Limited | Rep | Type 6 — Advising on corporate finance | 2014-09-03 | 2015-05-20 |
| J.P. Morgan Broking (Hong Kong) Limited | RO | Type 1 — Dealing in securities | 2012-11-28 | 2016-07-06 |
| J.P. Morgan Broking (Hong Kong) Limited | RO | Type 2 — Dealing in futures contracts | 2012-11-28 | 2016-07-06 |
| J.P. Morgan Broking (Hong Kong) Limited | RO | Type 4 — Advising on securities | 2012-11-28 | 2016-07-06 |
| J.P. Morgan Broking (Hong Kong) Limited | RO | Type 5 — Advising on futures contracts | 2012-11-28 | 2016-07-06 |
| J.P. Morgan Broking (Hong Kong) Limited | RO | Type 7 — Providing automated trading services | 2012-11-28 | 2014-03-31 |
| J.P. Morgan Broking (Hong Kong) Limited | Rep | Type 1 — Dealing in securities | 2011-04-04 | 2012-11-28 |
| J.P. Morgan Broking (Hong Kong) Limited | Rep | Type 2 — Dealing in futures contracts | 2011-04-04 | 2012-11-28 |
| J.P. Morgan Broking (Hong Kong) Limited | Rep | Type 4 — Advising on securities | 2011-04-04 | 2012-11-28 |
| J.P. Morgan Broking (Hong Kong) Limited | Rep | Type 5 — Advising on futures contracts | 2011-04-04 | 2012-11-28 |
| UBS Securities Asia Limited | Rep | Type 1 — Dealing in securities | 2006-01-11 | 2006-04-16 |
| UBS Securities Asia Limited | Rep | Type 2 — Dealing in futures contracts | 2006-01-11 | 2006-04-16 |