Richard Alan Griffiths
This page summarises the Hong Kong Securities and Futures Commission (SFC) public register record for Richard Alan Griffiths, a licensed Responsible Officer with CE reference AHJ440. Currently licensed at 1 firm(s): BNP Paribas Securities (Asia) Limited. Active regulated activities: Type 6 — Advising on corporate finance. Total licence records on file: 22.
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 |
RO | Type 6 — Advising on corporate finance | 2022-01-27 | present |
| BNP Paribas Securities (Asia) Limited 法國巴黎證券(亞洲)有限公司 |
Rep | Type 6 — Advising on corporate finance | 2015-09-04 | 2022-01-27 |
| Macquarie Capital Limited 麥格理資本股份有限公司 |
RO | Type 1 — Dealing in securities | 2010-07-16 | 2015-03-31 |
| Macquarie Capital Limited 麥格理資本股份有限公司 |
RO | Type 6 — Advising on corporate finance | 2010-07-16 | 2015-03-31 |
| Macquarie Corporate (Hong Kong) Limited | RO | Type 6 — Advising on corporate finance | 2010-07-16 | 2015-03-31 |
| Macquarie Capital Limited 麥格理資本股份有限公司 |
Rep | Type 1 — Dealing in securities | 2010-02-17 | 2010-07-16 |
| Macquarie Capital Limited 麥格理資本股份有限公司 |
Rep | Type 6 — Advising on corporate finance | 2010-02-17 | 2010-07-16 |
| Macquarie Corporate (Hong Kong) Limited | Rep | Type 6 — Advising on corporate finance | 2010-02-17 | 2010-07-16 |
| RBS Asia Corporate Finance Limited 蘇皇融資亞洲有限公司 |
RO | Type 1 — Dealing in securities | 2008-12-09 | 2010-02-10 |
| RBS Asia Corporate Finance Limited 蘇皇融資亞洲有限公司 |
RO | Type 6 — Advising on corporate finance | 2008-12-09 | 2010-02-10 |
| RBS Asia Corporate Finance Limited 蘇皇融資亞洲有限公司 |
Rep | Type 1 — Dealing in securities | 2008-09-29 | 2008-12-09 |
| RBS Asia Corporate Finance Limited 蘇皇融資亞洲有限公司 |
Rep | Type 6 — Advising on corporate finance | 2008-09-29 | 2008-12-09 |
| Houlihan Lokey Howard & Zukin (Europe) Limited | RO | Type 1 — Dealing in securities | 2007-08-10 | 2008-08-14 |
| Houlihan Lokey Howard & Zukin (Europe) Limited | RO | Type 6 — Advising on corporate finance | 2007-08-10 | 2008-08-14 |
| RBS Asia Corporate Finance Limited 蘇皇融資亞洲有限公司 |
RO | Type 6 — Advising on corporate finance | 2006-08-16 | 2007-05-12 |
| RBS Asia Corporate Finance Limited 蘇皇融資亞洲有限公司 |
Rep | Type 6 — Advising on corporate finance | 2006-06-28 | 2006-08-16 |
| RBS Asia Corporate Finance Limited 蘇皇融資亞洲有限公司 |
RO | Type 1 — Dealing in securities | 2005-12-29 | 2007-05-12 |
| RBS Asia Corporate Finance Limited 蘇皇融資亞洲有限公司 |
RO | Type 6 — Advising on corporate finance | 2005-12-29 | 2006-06-28 |
| RBS Asia Corporate Finance Limited 蘇皇融資亞洲有限公司 |
Rep | Type 1 — Dealing in securities | present | 2005-12-29 |
| RBS Asia Corporate Finance Limited 蘇皇融資亞洲有限公司 |
Rep | Type 4 — Advising on securities | present | 2005-01-24 |
| RBS Asia Corporate Finance Limited 蘇皇融資亞洲有限公司 |
Rep | Type 6 — Advising on corporate finance | present | 2005-12-29 |
| RBS Asia Corporate Finance Limited 蘇皇融資亞洲有限公司 |
Rep | Type 9 — Asset management | present | 2005-01-24 |