Stephen Frederick Rich
This page summarises the Hong Kong Securities and Futures Commission (SFC) public register record for Stephen Frederick Rich, a licensed former licensee with CE reference ATE176. This person has 11.0 years of SFC licence history. Total licence records on file: 4.
Information
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Licence history
| Firm | Role | Regulated activity | From | To |
|---|---|---|---|---|
| M3 Capital Partners (HK) Limited | Rep | Type 1 - Dealing in securities | 2016-02-12 | 2020-12-01 |
| M3 Capital Partners (HK) Limited | Rep | Type 4 - Advising on securities | 2016-02-12 | 2020-12-01 |
| Credit Suisse (Hong Kong) Limited 瑞士信貸(香港)有限公司 |
Rep | Type 4 - Advising on securities | 2010-03-09 | 2016-01-05 |
| UBS Securities Asia Limited | Rep | Type 4 - Advising on securities | 2009-06-30 | 2009-11-18 |
Worked alongside
The 20 closest colleagues, strongest tie first — individuals licensed at the same firm as Stephen Frederick Rich 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.