Kate Gaskell Richdale
This page summarises the Hong Kong Securities and Futures Commission (SFC) public register record for Kate Gaskell Richdale, a licensed Responsible Officer with CE reference AFZ874. Currently licensed at 2 firm(s): KKR Capital Markets Asia II Limited, KKR Capital Markets Asia Limited. Active regulated activities: Type 1 — Dealing in securities; Type 4 — Advising on securities; Type 9 — Asset management. Total licence records on file: 17.
More firms doing Dealing in securities →More firms doing Advising on securities →More firms doing Asset management →
Licence history
| Firm | Role | Regulated activity | From | To |
|---|---|---|---|---|
| KKR Capital Markets Asia II Limited |
RO | Type 1 — Dealing in securities | 2024-05-14 | present |
| KKR Capital Markets Asia II Limited |
RO | Type 4 — Advising on securities | 2024-05-14 | present |
| KKR Capital Markets Asia Limited | RO | Type 1 — Dealing in securities | 2022-11-16 | present |
| KKR Capital Markets Asia Limited | RO | Type 4 — Advising on securities | 2022-11-16 | present |
| KKR Capital Markets Asia Limited | RO | Type 9 — Asset management | 2022-11-16 | present |
| KKR Capital Markets Asia Limited | Rep | Type 1 — Dealing in securities | 2020-04-27 | 2022-11-16 |
| KKR Capital Markets Asia Limited | Rep | Type 4 — Advising on securities | 2020-04-27 | 2022-11-16 |
| Goldman Sachs (Asia) L.L.C. 高盛(亞洲)有限責任公司 |
RO | Type 1 — Dealing in securities | 2013-09-02 | 2019-03-23 |
| Goldman Sachs (Asia) L.L.C. 高盛(亞洲)有限責任公司 |
RO | Type 6 — Advising on corporate finance | 2013-09-02 | 2019-03-23 |
| Goldman Sachs (Asia) L.L.C. 高盛(亞洲)有限責任公司 |
Rep | Type 1 — Dealing in securities | 2013-06-14 | 2013-09-02 |
| Goldman Sachs (Asia) L.L.C. 高盛(亞洲)有限責任公司 |
Rep | Type 6 — Advising on corporate finance | 2013-06-14 | 2013-09-02 |
| Morgan Stanley Asia Limited 摩根士丹利亞洲有限公司 |
RO | Type 1 — Dealing in securities | 2011-03-15 | 2013-03-07 |
| Morgan Stanley Asia Limited 摩根士丹利亞洲有限公司 |
RO | Type 6 — Advising on corporate finance | 2011-03-15 | 2013-03-07 |
| Morgan Stanley Asia Limited 摩根士丹利亞洲有限公司 |
Rep | Type 1 — Dealing in securities | present | 2011-03-15 |
| Morgan Stanley Asia Limited 摩根士丹利亞洲有限公司 |
Rep | Type 4 — Advising on securities | present | 2004-02-11 |
| Morgan Stanley Asia Limited 摩根士丹利亞洲有限公司 |
Rep | Type 6 — Advising on corporate finance | present | 2011-03-15 |
| Morgan Stanley Asia Limited 摩根士丹利亞洲有限公司 |
Rep | Type 7 — Providing automated trading services | present | 2004-02-11 |