Richard Miles Wertheimer

CE No. ACT127 Ceased

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

FirmRoleRegulated activityFromTo
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

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