Sean Joseph McCarthy
This page summarises the Hong Kong Securities and Futures Commission (SFC) public register record for Sean Joseph McCarthy ( ), a licensed former licensee with CE reference AWI446. Total licence records on file: 8.
Licence history
| Firm | Role | Regulated activity | From | To |
|---|---|---|---|---|
| UBS Securities Asia Limited | Rep | Type 1 - Dealing in securities | 2019-11-15 | 2019-11-22 |
| UBS Securities Asia Limited | Rep | Type 1 - Dealing in securities | 2019-10-10 | 2019-10-17 |
| Deutsche Securities Asia Limited 德意志證券亞洲有限公司 |
Rep | Type 1 - Dealing in securities | 2018-08-03 | 2018-11-02 |
| Deutsche Securities Asia Limited 德意志證券亞洲有限公司 |
Rep | Type 2 - Dealing in futures contracts | 2018-08-03 | 2018-11-02 |
| Deutsche Securities Asia Limited 德意志證券亞洲有限公司 |
Rep | Type 1 - Dealing in securities | 2015-01-28 | 2015-01-30 |
| Deutsche Securities Asia Limited 德意志證券亞洲有限公司 |
Rep | Type 2 - Dealing in futures contracts | 2015-01-28 | 2015-01-30 |
| Goldman Sachs (Asia) L.L.C. 高盛(亞洲)有限責任公司 |
Rep | Type 1 - Dealing in securities | 2010-11-17 | 2011-08-30 |
| Goldman Sachs Futures (Asia) Limited 高盛期貨(亞洲)有限公司 |
Rep | Type 2 - Dealing in futures contracts | 2010-11-17 | 2011-08-30 |