Thomas Henri S. M. de Garidel-Thoron
This page summarises the Hong Kong Securities and Futures Commission (SFC) public register record for Thomas Henri S. M. de Garidel-Thoron ( ), a licensed former licensee with CE reference AUX091. Total licence records on file: 11.
Licence history
| Firm | Role | Regulated activity | From | To |
|---|---|---|---|---|
| UBS Securities Asia Limited | RO | Type 2 — Dealing in futures contracts | 2023-09-25 | 2026-02-26 |
| UBS Securities Hong Kong Limited | RO | Type 2 — Dealing in futures contracts | 2023-09-25 | 2026-02-26 |
| UBS Securities Hong Kong Limited | RO | Type 7 — Providing automated trading services | 2023-09-25 | 2026-02-26 |
| UBS Securities Asia Limited | RO | Type 1 — Dealing in securities | 2021-01-18 | 2026-02-26 |
| UBS Securities Hong Kong Limited | RO | Type 1 — Dealing in securities | 2021-01-18 | 2026-02-26 |
| UBS Securities Asia Limited | Rep | Type 1 — Dealing in securities | 2020-10-16 | 2021-01-18 |
| UBS Securities Hong Kong Limited | Rep | Type 1 — Dealing in securities | 2020-10-16 | 2021-01-18 |
| UBS Securities Asia Limited | Rep | Type 2 — Dealing in futures contracts | 2020-10-16 | 2023-09-25 |
| UBS Securities Hong Kong Limited | Rep | Type 2 — Dealing in futures contracts | 2020-10-16 | 2023-09-25 |
| HSBC Securities Brokers (Asia) Limited 滙豐證券經紀(亞洲)有限公司 |
RO | Type 1 — Dealing in securities | 2016-09-30 | 2020-06-30 |
| HSBC Securities Brokers (Asia) Limited 滙豐證券經紀(亞洲)有限公司 |
Rep | Type 1 — Dealing in securities | 2014-09-26 | 2016-09-30 |