Caroline Charlotte Basham
This page summarises the Hong Kong Securities and Futures Commission (SFC) public register record for Caroline Charlotte Basham ( ), a licensed former licensee with CE reference AFU065. Total licence records on file: 5.
Licence history
| Firm | Role | Regulated activity | From | To |
|---|---|---|---|---|
| BNP Paribas Securities (Asia) Limited 法國巴黎證券(亞洲)有限公司 |
Rep | Type 1 — Dealing in securities | 2008-08-15 | 2009-04-02 |
| UBS Securities Asia Limited | Rep | Type 1 — Dealing in securities | present | 2004-08-17 |
| UBS Securities Asia Limited | Rep | Type 4 — Advising on securities | present | 2004-08-17 |
| UBS Securities Asia Limited | Rep | Type 6 — Advising on corporate finance | present | 2004-08-17 |
| UBS Securities Asia Limited | Rep | Type 9 — Asset management | present | 2004-08-17 |