Richard Howard Douglas

CE No. BPL635 Ceased

This page summarises the Hong Kong Securities and Futures Commission (SFC) public register record for Richard Howard Douglas (), a licensed former licensee with CE reference BPL635. Total licence records on file: 10.

Licence history

FirmRoleRegulated activityFromTo
Saxo Capital Markets HK Limited
盛寶金融(香港)有限公司
RO Type 3 — Leveraged foreign exchange trading 2022-12-07 2023-11-22
Saxo Capital Markets HK Limited
盛寶金融(香港)有限公司
RO Type 1 — Dealing in securities 2022-07-20 2023-11-22
Saxo Capital Markets HK Limited
盛寶金融(香港)有限公司
RO Type 2 — Dealing in futures contracts 2022-07-20 2023-11-22
Saxo Capital Markets HK Limited
盛寶金融(香港)有限公司
RO Type 4 — Advising on securities 2022-07-20 2023-11-22
Saxo Capital Markets HK Limited
盛寶金融(香港)有限公司
RO Type 9 — Asset management 2022-07-20 2023-11-22
Saxo Capital Markets HK Limited
盛寶金融(香港)有限公司
Rep Type 3 — Leveraged foreign exchange trading 2022-03-25 2022-12-07
Saxo Capital Markets HK Limited
盛寶金融(香港)有限公司
Rep Type 9 — Asset management 2022-03-25 2022-07-20
Saxo Capital Markets HK Limited
盛寶金融(香港)有限公司
Rep Type 4 — Advising on securities 2021-11-23 2022-07-20
Saxo Capital Markets HK Limited
盛寶金融(香港)有限公司
Rep Type 1 — Dealing in securities 2021-09-14 2022-07-20
Saxo Capital Markets HK Limited
盛寶金融(香港)有限公司
Rep Type 2 — Dealing in futures contracts 2021-09-14 2022-07-20

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