Charles Matthew Pecot III

CE No. AHA548 Ceased

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

FirmRoleRegulated activityFromTo
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

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