John West Riggs
This page summarises the Hong Kong Securities and Futures Commission (SFC) public register record for John West Riggs ( ), a licensed former licensee with CE reference ARO321. Total licence records on file: 6.
Licence history
| Firm | Role | Regulated activity | From | To |
|---|---|---|---|---|
| Piper Jaffray Asia Securities Limited 派杰亞洲証券有限公司 |
Rep | Type 1 — Dealing in securities | 2010-04-01 | 2012-10-31 |
| Piper Jaffray Asia Securities Limited 派杰亞洲証券有限公司 |
Rep | Type 4 — Advising on securities | 2010-04-01 | 2012-10-31 |
| Piper Jaffray Asia Limited 派杰亞洲有限公司 |
Rep | Type 6 — Advising on corporate finance | 2010-04-01 | 2012-10-31 |
| Piper Jaffray Asia Securities Limited 派杰亞洲証券有限公司 |
Rep | Type 1 — Dealing in securities | 2008-08-27 | 2009-06-15 |
| Piper Jaffray Asia Securities Limited 派杰亞洲証券有限公司 |
Rep | Type 4 — Advising on securities | 2008-08-27 | 2009-06-15 |
| Piper Jaffray Asia Limited 派杰亞洲有限公司 |
Rep | Type 6 — Advising on corporate finance | 2008-08-27 | 2009-06-15 |