Charles Matthew Pecot III
This page summarises the Hong Kong Securities and Futures Commission (SFC) public register record for Charles Matthew Pecot III ( ), a licensed former licensee with CE reference AHA548. Total licence records on file: 17.
Licence history
| Firm | Role | Regulated activity | From | To |
|---|---|---|---|---|
| Barclays Capital Asia Limited 巴克萊亞洲有限公司 |
RO | Type 1 — Dealing in securities | 2019-01-09 | 2022-05-13 |
| Barclays Capital Asia Limited 巴克萊亞洲有限公司 |
RO | Type 2 — Dealing in futures contracts | 2019-01-09 | 2022-05-13 |
| Barclays Capital Asia Limited 巴克萊亞洲有限公司 |
Rep | Type 1 — Dealing in securities | 2018-05-08 | 2019-01-09 |
| Barclays Capital Asia Limited 巴克萊亞洲有限公司 |
Rep | Type 2 — Dealing in futures contracts | 2018-05-08 | 2019-01-09 |
| Credit Suisse (Hong Kong) Limited 瑞士信貸(香港)有限公司 |
RO | Type 5 — Advising on futures contracts | 2013-11-27 | 2017-03-25 |
| Credit Suisse Securities (Hong Kong) Limited 瑞士信貸證券(香港)有限公司 |
RO | Type 1 — Dealing in securities | 2012-02-27 | 2017-03-25 |
| Credit Suisse (Hong Kong) Limited 瑞士信貸(香港)有限公司 |
RO | Type 2 — Dealing in futures contracts | 2011-06-23 | 2017-03-25 |
| Credit Suisse (Hong Kong) Limited 瑞士信貸(香港)有限公司 |
RO | Type 7 — Providing automated trading services | 2011-06-23 | 2013-11-01 |
| Credit Suisse (Hong Kong) Limited 瑞士信貸(香港)有限公司 |
RO | Type 1 — Dealing in securities | 2009-11-30 | 2017-03-25 |
| Credit Suisse (Hong Kong) Limited 瑞士信貸(香港)有限公司 |
Rep | Type 1 — Dealing in securities | 2009-07-24 | 2009-11-30 |
| Credit Suisse (Hong Kong) Limited 瑞士信貸(香港)有限公司 |
Rep | Type 2 — Dealing in futures contracts | 2009-07-24 | 2011-06-23 |
| Credit Suisse (Hong Kong) Limited 瑞士信貸(香港)有限公司 |
Rep | Type 7 — Providing automated trading services | 2009-07-24 | 2011-06-23 |
| UBS Securities Asia Limited | RO | Type 1 — Dealing in securities | 2005-04-27 | 2007-03-06 |
| UBS Securities Asia Limited | Rep | Type 1 — Dealing in securities | present | 2005-04-27 |
| UBS Securities Asia Limited | Rep | Type 4 — Advising on securities | present | 2005-03-24 |
| UBS Securities Asia Limited | Rep | Type 6 — Advising on corporate finance | present | 2005-02-04 |
| UBS Securities Asia Limited | Rep | Type 9 — Asset management | present | 2005-02-04 |