Patrick Nicholas Maloney
This page summarises the Hong Kong Securities and Futures Commission (SFC) public register record for Patrick Nicholas Maloney ( ), a licensed former licensee with CE reference AVD511. Total licence records on file: 5.
Licence history
| Firm | Role | Regulated activity | From | To |
|---|---|---|---|---|
| SP Securities Limited 中盈證券有限公司 |
RO | Type 1 — Dealing in securities | 2016-03-11 | 2017-02-15 |
| SP Securities Limited 中盈證券有限公司 |
RO | Type 4 — Advising on securities | 2016-03-11 | 2017-02-15 |
| China Silver Asset Management (Hong Kong) Limited | RO | Type 9 — Asset management | 2013-11-11 | 2023-09-05 |
| Tullett Prebon (Hong Kong) Limited | RO | Type 1 — Dealing in securities | 2010-08-26 | 2011-08-25 |
| Tullett Prebon (Hong Kong) Limited | RO | Type 2 — Dealing in futures contracts | 2010-08-26 | 2011-08-25 |