Richard Ian Appleby
This page summarises the Hong Kong Securities and Futures Commission (SFC) public register record for Richard Ian Appleby, a licensed former licensee with CE reference BBF268. This person has 3.8 years of SFC licence history. Total licence records on file: 2.
Information
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Licence history
| Firm | Role | Regulated activity | From | To |
|---|---|---|---|---|
| Haitong International Securities Company Limited 海通國際證券有限公司 |
Rep | Type 1 - Dealing in securities | 2017-05-02 | 2017-09-11 |
| CGS International Securities Hong Kong Limited 中國銀河證券香港有限公司 |
Rep | Type 1 - Dealing in securities | 2013-05-09 | 2016-11-01 |
Worked alongside
The 20 closest colleagues, strongest tie first — individuals licensed at the same firm as Richard Ian Appleby during overlapping periods. Ranked by how long they overlapped and how similar their regulated activities were, with shared time at a smaller firm weighted more than at a large one. See the detailed formula.