Tapan Prakash
This page summarises the Hong Kong Securities and Futures Commission (SFC) public register record for Tapan Prakash ( ), a licensed former licensee with CE reference AVL496. Total licence records on file: 7.
Licence history
| Firm | Role | Regulated activity | From | To |
|---|---|---|---|---|
| UBS Securities Asia Limited | Rep | Type 1 - Dealing in securities | 2019-08-21 | 2021-03-17 |
| UBS Securities Hong Kong Limited | Rep | Type 1 - Dealing in securities | 2019-08-21 | 2021-03-17 |
| UBS Securities Asia Limited | Rep | Type 2 - Dealing in futures contracts | 2019-08-21 | 2021-03-17 |
| UBS Securities Hong Kong Limited | Rep | Type 2 - Dealing in futures contracts | 2019-08-21 | 2021-03-17 |
| Barclays Capital Asia Limited 巴克萊亞洲有限公司 |
Rep | Type 1 - Dealing in securities | 2012-06-27 | 2014-08-01 |
| Barclays Capital Asia Limited 巴克萊亞洲有限公司 |
Rep | Type 2 - Dealing in futures contracts | 2012-06-27 | 2014-08-01 |
| Nomura International (Hong Kong) Limited 野村國際(香港)有限公司 |
Rep | Type 1 - Dealing in securities | 2010-07-09 | 2012-05-14 |