Nicholas Stephen Ashby
This page summarises the Hong Kong Securities and Futures Commission (SFC) public register record for Nicholas Stephen Ashby ( ), a licensed former licensee with CE reference BIC981. Total licence records on file: 8.
Licence history
| Firm | Role | Regulated activity | From | To |
|---|---|---|---|---|
| Tullett Prebon (Hong Kong) Limited | Rep | Type 1 — Dealing in securities | 2021-01-05 | 2021-03-31 |
| Tullett Prebon (Hong Kong) Limited | Rep | Type 7 — Providing automated trading services | 2021-01-05 | 2021-03-31 |
| ICAP Securities Hong Kong Limited | RO | Type 1 — Dealing in securities | 2020-01-31 | 2020-12-08 |
| ICAP Securities Hong Kong Limited | RO | Type 7 — Providing automated trading services | 2020-01-31 | 2020-12-08 |
| ICAP Securities Hong Kong Limited | Rep | Type 1 — Dealing in securities | 2019-11-18 | 2020-01-31 |
| ICAP Securities Hong Kong Limited | Rep | Type 7 — Providing automated trading services | 2019-11-18 | 2020-01-31 |
| GFI (HK) Securities L.L.C. | Rep | Type 1 — Dealing in securities | 2016-09-07 | 2019-05-17 |
| GFI (HK) Securities L.L.C. | Rep | Type 7 — Providing automated trading services | 2016-09-07 | 2019-05-17 |