Nial Dennis Henry Gooding

CE No. ABS538 Ceased

This page summarises the Hong Kong Securities and Futures Commission (SFC) public register record for Nial Dennis Henry Gooding (), a licensed former licensee with CE reference ABS538. Total licence records on file: 8.

Licence history

FirmRoleRegulated activityFromTo
GCIS Limited
RO Type 9 — Asset management 2014-10-22 2025-03-31
GCIS Limited
Rep Type 9 — Asset management 2014-05-05 2014-10-22
Northwest Investment Management (Hong Kong) Limited
Rep Type 9 — Asset management 2010-04-30 2012-08-27
UBS Securities Asia Limited Rep Type 2 — Dealing in futures contracts 2008-06-05 2010-03-19
UBS Securities Asia Limited Rep Type 1 — Dealing in securities present 2010-03-19
UBS Securities Asia Limited Rep Type 4 — Advising on securities present 2005-03-24
UBS Securities Asia Limited Rep Type 6 — Advising on corporate finance present 2005-02-04
UBS Securities Asia Limited Rep Type 9 — Asset management present 2005-02-04

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