Thomas Edward Rivers
This page summarises the Hong Kong Securities and Futures Commission (SFC) public register record for Thomas Edward Rivers ( ), a licensed former licensee with CE reference BFB238. Total licence records on file: 3.
Licence history
| Firm | Role | Regulated activity | From | To |
|---|---|---|---|---|
| UBS Asset Management (Hong Kong) Limited | Rep | Type 1 - Dealing in securities | 2015-03-11 | 2016-10-18 |
| UBS Asset Management (Hong Kong) Limited | Rep | Type 4 - Advising on securities | 2015-03-11 | 2016-10-18 |
| UBS Asset Management (Hong Kong) Limited | Rep | Type 9 - Asset management | 2015-03-11 | 2016-10-18 |