Richard Miles Wertheimer
This page summarises the Hong Kong Securities and Futures Commission (SFC) public register record for Richard Miles Wertheimer ( ), a licensed former licensee with CE reference ACT127. Total licence records on file: 10.
Licence history
| Firm | Role | Regulated activity | From | To |
|---|---|---|---|---|
| Macquarie Capital Limited 麥格理資本股份有限公司 |
Rep | Type 1 — Dealing in securities | 2011-02-14 | 2012-11-30 |
| Yuanta Securities (Hong Kong) Company Limited 元大證券(香港)有限公司 |
RO | Type 1 — Dealing in securities | 2009-01-07 | 2009-09-30 |
| Yuanta Securities (Hong Kong) Company Limited 元大證券(香港)有限公司 |
RO | Type 4 — Advising on securities | 2009-01-07 | 2009-09-30 |
| Yuanta Securities (Hong Kong) Company Limited 元大證券(香港)有限公司 |
Rep | Type 1 — Dealing in securities | 2006-05-03 | 2009-01-07 |
| Yuanta Securities (Hong Kong) Company Limited 元大證券(香港)有限公司 |
Rep | Type 4 — Advising on securities | 2006-05-03 | 2009-01-07 |
| Rich Union Securities (H.K.) Limited 瑞元證券(香港)有限公司 |
Rep | Type 9 — Asset management | 2006-05-03 | 2008-12-15 |
| Mirabaud (Far East) Limited |
RO | Type 4 — Advising on securities | 2005-06-15 | 2006-04-28 |
| Mirabaud (Asia) Limited |
RO | Type 1 — Dealing in securities | 2005-03-14 | 2006-01-27 |
| Mirabaud (Asia) Limited |
RO | Type 4 — Advising on securities | 2005-03-14 | 2006-01-27 |
| Mirabaud (Far East) Limited |
RO | Type 9 — Asset management | 2005-03-14 | 2006-04-28 |