Dawn Nora FitzPatrick
This page summarises the Hong Kong Securities and Futures Commission (SFC) public register record for Dawn Nora FitzPatrick ( ), a licensed former licensee with CE reference BGK600. Total licence records on file: 9.
Licence history
| Firm | Role | Regulated activity | From | To |
|---|---|---|---|---|
| SFM HK Management Limited 索羅斯基金管理(香港)有限公司 |
Rep | Type 9 — Asset management | 2017-06-20 | 2024-11-05 |
| UBS Asset Management (Hong Kong) Limited | Rep | Type 1 — Dealing in securities | 2016-11-24 | 2016-11-30 |
| UBS Asset Management (Hong Kong) Limited | Rep | Type 4 — Advising on securities | 2016-11-24 | 2016-11-30 |
| UBS Asset Management (Hong Kong) Limited | Rep | Type 1 — Dealing in securities | 2016-01-04 | 2016-01-07 |
| UBS Asset Management (Hong Kong) Limited | Rep | Type 4 — Advising on securities | 2016-01-04 | 2016-01-07 |
| UBS Asset Management (Hong Kong) Limited | Rep | Type 1 — Dealing in securities | 2015-12-10 | 2015-12-13 |
| UBS Asset Management (Hong Kong) Limited | Rep | Type 4 — Advising on securities | 2015-12-10 | 2015-12-13 |
| UBS Asset Management (Hong Kong) Limited | Rep | Type 1 — Dealing in securities | 2015-10-29 | 2015-11-02 |
| UBS Asset Management (Hong Kong) Limited | Rep | Type 4 — Advising on securities | 2015-10-29 | 2015-11-02 |