Kwan Patrick Ku
顧琨
This page summarises the Hong Kong Securities and Futures Commission (SFC) public register record for Kwan Patrick Ku (顧琨), a licensed former licensee with CE reference AUR318. Total licence records on file: 11.
Licence history
| Firm | Role | Regulated activity | From | To |
|---|---|---|---|---|
| Huatai Financial Holdings (Hong Kong) Limited 華泰金融控股(香港)有限公司 |
Rep | Type 1 - Dealing in securities | 2015-07-29 | 2017-09-29 |
| Huatai Financial Holdings (Hong Kong) Limited 華泰金融控股(香港)有限公司 |
Rep | Type 4 - Advising on securities | 2015-07-29 | 2017-09-29 |
| Huatai Financial Holdings (Hong Kong) Limited 華泰金融控股(香港)有限公司 |
Rep | Type 6 - Advising on corporate finance | 2015-07-29 | 2017-09-29 |
| Barclays Capital Asia Limited 巴克萊亞洲有限公司 |
Rep | Type 1 - Dealing in securities | 2013-10-28 | 2014-06-03 |
| Barclays Capital Asia Limited 巴克萊亞洲有限公司 |
Rep | Type 6 - Advising on corporate finance | 2013-10-28 | 2014-06-03 |
| Merrill Lynch (Asia Pacific) Limited | Rep | Type 1 - Dealing in securities | 2010-02-17 | 2013-08-24 |
| Merrill Lynch Far East Limited | Rep | Type 1 - Dealing in securities | 2010-02-17 | 2013-08-24 |
| Merrill Lynch (Asia Pacific) Limited | Rep | Type 4 - Advising on securities | 2010-02-17 | 2013-08-24 |
| Merrill Lynch Far East Limited | Rep | Type 4 - Advising on securities | 2010-02-17 | 2013-08-24 |
| Merrill Lynch (Asia Pacific) Limited | Rep | Type 6 - Advising on corporate finance | 2010-02-17 | 2013-08-24 |
| Merrill Lynch Far East Limited | Rep | Type 6 - Advising on corporate finance | 2010-02-17 | 2013-08-24 |