Richard Thomas
This page summarises the Hong Kong Securities and Futures Commission (SFC) public register record for Richard Thomas ( ), a licensed former licensee with CE reference BDD358. Total licence records on file: 13.
Licence history
| Firm | Role | Regulated activity | From | To |
|---|---|---|---|---|
| Merrill Lynch (Asia Pacific) Limited | Rep | Type 4 - Advising on securities | 2026-04-17 | 2026-04-22 |
| Merrill Lynch (Asia Pacific) Limited | Rep | Type 4 - Advising on securities | 2024-11-12 | 2024-11-14 |
| Merrill Lynch (Asia Pacific) Limited | Rep | Type 4 - Advising on securities | 2023-04-24 | 2023-04-28 |
| Merrill Lynch (Asia Pacific) Limited | Rep | Type 4 - Advising on securities | 2019-11-29 | 2019-12-03 |
| Merrill Lynch (Asia Pacific) Limited | Rep | Type 4 - Advising on securities | 2018-11-16 | 2018-11-21 |
| Merrill Lynch (Asia Pacific) Limited | Rep | Type 1 - Dealing in securities | 2016-05-16 | 2017-10-18 |
| Merrill Lynch (Asia Pacific) Limited | Rep | Type 4 - Advising on securities | 2016-05-16 | 2017-10-18 |
| Merrill Lynch (Asia Pacific) Limited | Rep | Type 1 - Dealing in securities | 2015-12-02 | 2015-12-04 |
| Merrill Lynch (Asia Pacific) Limited | Rep | Type 4 - Advising on securities | 2015-12-02 | 2015-12-04 |
| Merrill Lynch (Asia Pacific) Limited | Rep | Type 1 - Dealing in securities | 2015-05-11 | 2015-05-12 |
| Merrill Lynch (Asia Pacific) Limited | Rep | Type 4 - Advising on securities | 2015-05-11 | 2015-05-12 |
| Merrill Lynch (Asia Pacific) Limited | Rep | Type 1 - Dealing in securities | 2014-03-21 | 2014-03-28 |
| Merrill Lynch (Asia Pacific) Limited | Rep | Type 4 - Advising on securities | 2014-03-21 | 2014-03-28 |