Richard Howard Douglas
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
| Firm | Role | Regulated activity | From | To |
|---|---|---|---|---|
| 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 |