Warren Edmund Deats
This page summarises the Hong Kong Securities and Futures Commission (SFC) public register record for Warren Edmund Deats ( ), a licensed former licensee with CE reference AWD931. Total licence records on file: 12.
Licence history
| Firm | Role | Regulated activity | From | To |
|---|---|---|---|---|
| Barclays Capital Asia Limited 巴克萊亞洲有限公司 |
RO | Type 1 — Dealing in securities | 2015-08-06 | 2016-07-29 |
| Barclays Capital Asia Limited 巴克萊亞洲有限公司 |
RO | Type 2 — Dealing in futures contracts | 2015-08-06 | 2016-07-29 |
| Barclays Capital Asia Limited 巴克萊亞洲有限公司 |
Rep | Type 1 — Dealing in securities | 2014-11-25 | 2015-08-06 |
| Barclays Capital Asia Limited 巴克萊亞洲有限公司 |
Rep | Type 2 — Dealing in futures contracts | 2014-11-25 | 2015-08-06 |
| Merrill Lynch (Asia Pacific) Limited | Rep | Type 1 — Dealing in securities | 2012-06-01 | 2014-09-06 |
| Merrill Lynch Far East Limited | Rep | Type 1 — Dealing in securities | 2012-06-01 | 2014-09-06 |
| Merrill Lynch Far East Limited | Rep | Type 2 — Dealing in futures contracts | 2012-06-01 | 2014-09-06 |
| Goldman Sachs (Asia) L.L.C. 高盛(亞洲)有限責任公司 |
Rep | Type 5 — Advising on futures contracts | 2011-06-22 | 2012-02-25 |
| Goldman Sachs Futures (Asia) Limited 高盛期貨(亞洲)有限公司 |
Rep | Type 5 — Advising on futures contracts | 2011-06-22 | 2012-02-25 |
| Goldman Sachs (Asia) L.L.C. 高盛(亞洲)有限責任公司 |
Rep | Type 1 — Dealing in securities | 2010-10-29 | 2012-02-25 |
| Goldman Sachs (Asia) Securities Limited 高盛(亞洲)證券有限公司 |
Rep | Type 1 — Dealing in securities | 2010-10-29 | 2012-02-25 |
| Goldman Sachs Futures (Asia) Limited 高盛期貨(亞洲)有限公司 |
Rep | Type 2 — Dealing in futures contracts | 2010-10-29 | 2012-02-25 |