Sean Gerrard Giefing
This page summarises the Hong Kong Securities and Futures Commission (SFC) public register record for Sean Gerrard Giefing ( ), a licensed former licensee with CE reference BDV262. Total licence records on file: 6.
Licence history
| Firm | Role | Regulated activity | From | To |
|---|---|---|---|---|
| MUFG Securities Asia Limited 三菱日聯證券亞洲有限公司 |
Rep | Type 2 — Dealing in futures contracts | 2019-04-23 | 2019-11-01 |
| MUFG Securities Asia Limited 三菱日聯證券亞洲有限公司 |
Rep | Type 4 — Advising on securities | 2019-04-23 | 2019-07-25 |
| MUFG Securities Asia Limited 三菱日聯證券亞洲有限公司 |
Rep | Type 1 — Dealing in securities | 2019-01-18 | 2019-11-01 |
| Mizuho Securities Asia Limited 瑞穗證券亞洲有限公司 |
Rep | Type 1 — Dealing in securities | 2017-09-01 | 2018-12-14 |
| Mizuho Securities Asia Limited 瑞穗證券亞洲有限公司 |
Rep | Type 4 — Advising on securities | 2017-09-01 | 2018-12-14 |
| Guard Capital Management Limited |
Rep | Type 9 — Asset management | 2014-07-21 | 2017-07-18 |