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. This person has 11.1 years of SFC licence history. Total licence records on file: 11.
Information
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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 |
Worked alongside
The 20 closest colleagues, strongest tie first — individuals licensed at the same firm as Thomas Henri S. M. de Garidel-Thoron 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.