Brendan Thomas Rake
This page summarises the Hong Kong Securities and Futures Commission (SFC) public register record for Brendan Thomas Rake, a licensed Responsible Officer with CE reference AJD854. Currently licensed at 2 firm(s): Macquarie Asia Securities Limited, Macquarie Capital Limited. Active regulated activities: Type 1 — Dealing in securities; Type 4 — Advising on securities. Total licence records on file: 11.
Licence history
| Firm | Role | Regulated activity | From | To |
|---|---|---|---|---|
| Macquarie Asia Securities Limited |
RO | Type 1 — Dealing in securities | 2022-12-05 | present |
| Macquarie Capital Limited 麥格理資本股份有限公司 |
RO | Type 1 — Dealing in securities | 2022-12-05 | present |
| Macquarie Asia Securities Limited |
RO | Type 4 — Advising on securities | 2022-12-05 | present |
| Macquarie Asia Securities Limited |
Rep | Type 1 — Dealing in securities | 2022-07-19 | 2022-12-05 |
| Macquarie Capital Limited 麥格理資本股份有限公司 |
Rep | Type 1 — Dealing in securities | 2022-07-19 | 2022-12-05 |
| Macquarie Asia Securities Limited |
Rep | Type 4 — Advising on securities | 2022-07-19 | 2022-12-05 |
| Macquarie Asia Securities Limited |
Rep | Type 1 — Dealing in securities | 2020-09-30 | 2022-04-07 |
| Macquarie Capital Limited 麥格理資本股份有限公司 |
Rep | Type 1 — Dealing in securities | 2014-03-12 | 2015-07-13 |
| Macquarie Asia Securities Limited |
Rep | Type 2 — Dealing in futures contracts | 2014-03-12 | 2015-07-13 |
| Macquarie Capital Limited 麥格理資本股份有限公司 |
Rep | Type 1 — Dealing in securities | 2011-01-31 | 2012-11-30 |
| Macquarie Equities (Asia) Limited 麥格理證券(亞洲)有限公司 |
Rep | Type 1 — Dealing in securities | 2003-09-10 | 2003-10-10 |