The-Xuan-Dieu Nguyen
This page summarises the Hong Kong Securities and Futures Commission (SFC) public register record for The-Xuan-Dieu Nguyen, a licensed Representative with CE reference BBM580. Currently licensed at 2 firm(s): Merrill Lynch (Asia Pacific) Limited, Merrill Lynch Far East Limited. Active regulated activities: Type 1 - Dealing in securities; Type 2 - Dealing in futures contracts. Total licence records on file: 7.
Licence history
| Firm | Role | Regulated activity | From | To |
|---|---|---|---|---|
| Merrill Lynch (Asia Pacific) Limited | Rep | Type 1 - Dealing in securities | 2022-03-14 | present |
| Merrill Lynch Far East Limited | Rep | Type 1 - Dealing in securities | 2019-09-17 | present |
| Merrill Lynch Far East Limited | Rep | Type 2 - Dealing in futures contracts | 2019-09-17 | present |
| UBS Securities Hong Kong Limited | Rep | Type 1 - Dealing in securities | 2014-01-29 | 2014-03-08 |
| UBS Derivatives Hong Kong Limited | Rep | Type 2 - Dealing in futures contracts | 2014-01-29 | 2014-03-08 |
| UBS Securities Asia Limited | Rep | Type 2 - Dealing in futures contracts | 2014-01-29 | 2014-03-08 |
| UBS Securities Asia Limited | Rep | Type 1 - Dealing in securities | 2013-07-02 | 2014-03-08 |