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. Total licence records on file: 4.
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 |