Thomas Patrick Swain
This page summarises the Hong Kong Securities and Futures Commission (SFC) public register record for Thomas Patrick Swain, a licensed Representative with CE reference BAZ728. Currently licensed at 1 firm(s): Jefferies Hong Kong Limited. Active regulated activities: Type 1 - Dealing in securities; Type 4 - Advising on securities; Type 6 - Advising on corporate finance. Total licence records on file: 7.
Licence history
| Firm | Role | Regulated activity | From | To |
|---|---|---|---|---|
| Jefferies Hong Kong Limited 富瑞金融集團香港有限公司 |
Rep | Type 1 - Dealing in securities | 2023-12-06 | present |
| Jefferies Hong Kong Limited 富瑞金融集團香港有限公司 |
Rep | Type 4 - Advising on securities | 2023-12-06 | present |
| Jefferies Hong Kong Limited 富瑞金融集團香港有限公司 |
Rep | Type 6 - Advising on corporate finance | 2023-12-06 | present |
| Credit Suisse (Hong Kong) Limited 瑞士信貸(香港)有限公司 |
RO | Type 1 - Dealing in securities | 2020-05-20 | 2023-10-03 |
| Credit Suisse (Hong Kong) Limited 瑞士信貸(香港)有限公司 |
RO | Type 4 - Advising on securities | 2020-05-20 | 2023-10-03 |
| Credit Suisse (Hong Kong) Limited 瑞士信貸(香港)有限公司 |
Rep | Type 1 - Dealing in securities | 2013-03-13 | 2020-05-20 |
| Credit Suisse (Hong Kong) Limited 瑞士信貸(香港)有限公司 |
Rep | Type 4 - Advising on securities | 2013-03-13 | 2020-05-20 |