Stephen Duffus Weiss
This page summarises the Hong Kong Securities and Futures Commission (SFC) public register record for Stephen Duffus Weiss, a licensed former licensee with CE reference ASL811. This person has 1.9 years of SFC licence history. Total licence records on file: 6.
Information
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Licence history
| Firm | Role | Regulated activity | From | To |
|---|---|---|---|---|
| RBS Asia Corporate Finance Limited 蘇皇融資亞洲有限公司 |
RO | Type 6 - Advising on corporate finance | 2010-08-19 | 2011-01-01 |
| RBS Asia Corporate Finance Limited 蘇皇融資亞洲有限公司 |
Rep | Type 6 - Advising on corporate finance | 2010-02-18 | 2010-08-19 |
| RBS Asia Corporate Finance Limited 蘇皇融資亞洲有限公司 |
RO | Type 1 - Dealing in securities | 2009-08-18 | 2011-01-01 |
| RBS Asia Corporate Finance Limited 蘇皇融資亞洲有限公司 |
RO | Type 6 - Advising on corporate finance | 2009-08-18 | 2010-02-18 |
| RBS Asia Corporate Finance Limited 蘇皇融資亞洲有限公司 |
Rep | Type 1 - Dealing in securities | 2009-02-25 | 2009-08-18 |
| RBS Asia Corporate Finance Limited 蘇皇融資亞洲有限公司 |
Rep | Type 6 - Advising on corporate finance | 2009-02-25 | 2009-08-18 |
Worked alongside
The 20 closest colleagues, strongest tie first — individuals licensed at the same firm as Stephen Duffus Weiss during overlapping periods. Ranked by how long they overlapped and how similar their regulated activities were, with shared time at a smaller firm weighted more than at a large one. See the detailed formula.