Jon Vaughan Merrick Pratt
This page summarises the Hong Kong Securities and Futures Commission (SFC) public register record for Jon Vaughan Merrick Pratt, a licensed former licensee with CE reference AGN910. This person has 11.1 years of SFC licence history. Total licence records on file: 17.
Information
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Licence history
| Firm | Role | Regulated activity | From | To |
|---|---|---|---|---|
| Barclays Capital Asia Limited 巴克萊亞洲有限公司 |
RO | Type 1 - Dealing in securities | 2014-02-07 | 2016-04-21 |
| Barclays Capital Asia Limited 巴克萊亞洲有限公司 |
RO | Type 6 - Advising on corporate finance | 2014-02-07 | 2016-04-21 |
| Barclays Capital Asia Limited 巴克萊亞洲有限公司 |
Rep | Type 1 - Dealing in securities | 2010-10-11 | 2014-02-07 |
| Barclays Capital Asia Limited 巴克萊亞洲有限公司 |
Rep | Type 4 - Advising on securities | 2010-10-11 | 2016-04-21 |
| Barclays Capital Asia Limited 巴克萊亞洲有限公司 |
Rep | Type 6 - Advising on corporate finance | 2010-10-11 | 2014-02-07 |
| Merrill Lynch (Asia Pacific) Limited | Rep | Type 1 - Dealing in securities | 2006-12-03 | 2009-01-09 |
| Merrill Lynch Far East Limited | Rep | Type 1 - Dealing in securities | 2006-12-03 | 2009-01-09 |
| Merrill Lynch (Asia Pacific) Limited | Rep | Type 4 - Advising on securities | 2006-12-03 | 2009-01-09 |
| Merrill Lynch Far East Limited | Rep | Type 4 - Advising on securities | 2006-12-03 | 2009-01-09 |
| Merrill Lynch (Asia Pacific) Limited | Rep | Type 6 - Advising on corporate finance | 2006-12-03 | 2009-01-09 |
| Merrill Lynch Far East Limited | Rep | Type 6 - Advising on corporate finance | 2006-12-03 | 2009-01-09 |
| Credit Suisse (Hong Kong) Limited 瑞士信貸(香港)有限公司 |
Rep | Type 1 - Dealing in securities | 2005-04-14 | 2006-09-06 |
| Credit Suisse (Hong Kong) Limited 瑞士信貸(香港)有限公司 |
Rep | Type 4 - Advising on securities | 2005-04-14 | 2006-09-06 |
| Credit Suisse (Hong Kong) Limited 瑞士信貸(香港)有限公司 |
Rep | Type 6 - Advising on corporate finance | 2005-04-14 | 2006-09-06 |
| Credit Suisse Securities (Hong Kong) Limited 瑞士信貸證券(香港)有限公司 |
Rep | Type 4 - Advising on securities | Pre-2003 | 2006-08-18 |
| Credit Suisse Securities (Hong Kong) Limited 瑞士信貸證券(香港)有限公司 |
Rep | Type 6 - Advising on corporate finance | Pre-2003 | 2006-08-18 |
| Credit Suisse Securities (Hong Kong) Limited 瑞士信貸證券(香港)有限公司 |
Rep | Type 9 - Asset management | Pre-2003 | 2005-02-15 |