Rodney Gordon Ward
This page summarises the Hong Kong Securities and Futures Commission (SFC) public register record for Rodney Gordon Ward ( ), a licensed former licensee with CE reference ACD837. Total licence records on file: 9.
Licence history
| Firm | Role | Regulated activity | From | To |
|---|---|---|---|---|
| Merrill Lynch (Asia Pacific) Limited | Rep | Type 1 — Dealing in securities | 2012-07-09 | 2015-05-01 |
| Merrill Lynch Far East Limited | Rep | Type 1 — Dealing in securities | 2012-07-09 | 2015-05-01 |
| Merrill Lynch (Asia Pacific) Limited | Rep | Type 4 — Advising on securities | 2012-07-09 | 2015-05-01 |
| Merrill Lynch Far East Limited | Rep | Type 4 — Advising on securities | 2012-07-09 | 2015-05-01 |
| Merrill Lynch (Asia Pacific) Limited | Rep | Type 6 — Advising on corporate finance | 2012-07-09 | 2015-05-01 |
| Merrill Lynch Far East Limited | Rep | Type 6 — Advising on corporate finance | 2012-07-09 | 2015-05-01 |
| UBS Securities Asia Limited | RO | Type 4 — Advising on securities | present | 2003-06-25 |
| UBS Securities Asia Limited | RO | Type 6 — Advising on corporate finance | present | 2003-06-25 |
| UBS Securities Asia Limited | RO | Type 9 — Asset management | present | 2003-06-25 |