Richard Leo Sheridan
This page summarises the Hong Kong Securities and Futures Commission (SFC) public register record for Richard Leo Sheridan ( ), a licensed former licensee with CE reference AUE091. Total licence records on file: 7.
Licence history
| Firm | Role | Regulated activity | From | To |
|---|---|---|---|---|
| Liquidnet Asia Limited 利貫交易網亞洲有限公司 |
RO | Type 1 — Dealing in securities | 2014-05-05 | 2014-08-06 |
| Liquidnet Asia Limited 利貫交易網亞洲有限公司 |
RO | Type 7 — Providing automated trading services | 2014-05-05 | 2014-08-06 |
| Liquidnet Asia Limited 利貫交易網亞洲有限公司 |
Rep | Type 1 — Dealing in securities | 2012-03-14 | 2014-05-05 |
| Liquidnet Asia Limited 利貫交易網亞洲有限公司 |
Rep | Type 7 — Providing automated trading services | 2012-03-14 | 2014-05-05 |
| Deutsche Securities Asia Limited 德意志證券亞洲有限公司 |
Rep | Type 7 — Providing automated trading services | 2010-06-23 | 2012-01-19 |
| Deutsche Securities Asia Limited 德意志證券亞洲有限公司 |
Rep | Type 1 — Dealing in securities | 2010-04-08 | 2012-01-19 |
| Deutsche Securities Asia Limited 德意志證券亞洲有限公司 |
Rep | Type 1 — Dealing in securities | 2009-11-20 | 2009-11-27 |