Richard William Forrest
This page summarises the Hong Kong Securities and Futures Commission (SFC) public register record for Richard William Forrest, a licensed Responsible Officer with CE reference AMW907. Currently licensed at 1 firm(s): ICAP Securities Hong Kong Limited. Active regulated activities: Type 1 — Dealing in securities; Type 2 — Dealing in futures contracts. Total licence records on file: 25.
Licence history
| Firm | Role | Regulated activity | From | To |
|---|---|---|---|---|
| ICAP Securities Hong Kong Limited | RO | Type 1 — Dealing in securities | 2024-06-25 | present |
| ICAP Securities Hong Kong Limited | RO | Type 2 — Dealing in futures contracts | 2024-06-25 | present |
| ICAP Securities Hong Kong Limited | Rep | Type 1 — Dealing in securities | 2024-04-02 | 2024-06-25 |
| ICAP Securities Hong Kong Limited | Rep | Type 2 — Dealing in futures contracts | 2024-04-02 | 2024-06-25 |
| Qantex Capital Markets Limited | RO | Type 1 — Dealing in securities | 2021-11-16 | 2024-01-01 |
| Qantex Capital Markets Limited | RO | Type 2 — Dealing in futures contracts | 2020-08-19 | 2024-01-01 |
| Qantex Capital Markets Limited | Rep | Type 1 — Dealing in securities | 2020-06-15 | 2021-11-16 |
| Qantex Capital Markets Limited | Rep | Type 2 — Dealing in futures contracts | 2020-06-15 | 2020-08-19 |
| KGI Asia Limited 凱基證券亞洲有限公司 |
Rep | Type 1 — Dealing in securities | 2017-10-03 | 2020-02-01 |
| KGI Futures (Hong Kong) Limited 凱基期貨(香港)有限公司 |
RO | Type 2 — Dealing in futures contracts | 2016-10-07 | 2020-02-01 |
| KGI Asia Limited 凱基證券亞洲有限公司 |
Rep | Type 1 — Dealing in securities | 2015-03-10 | 2017-10-02 |
| KGI Futures (Hong Kong) Limited 凱基期貨(香港)有限公司 |
Rep | Type 2 — Dealing in futures contracts | 2015-03-10 | 2016-10-07 |
| T.F.S. Derivatives HK Limited | Rep | Type 1 — Dealing in securities | 2012-01-03 | 2014-11-30 |
| T.F.S. Derivatives HK Limited | Rep | Type 2 — Dealing in futures contracts | 2012-01-03 | 2014-11-30 |
| MF Global Hong Kong Limited 明富環球香港有限公司 |
Rep | Type 1 — Dealing in securities | 2009-03-26 | 2011-11-10 |
| MF Global Hong Kong Limited 明富環球香港有限公司 |
Rep | Type 2 — Dealing in futures contracts | 2009-03-26 | 2011-11-10 |
| SG Asset Finance (Hong Kong) Limited | Rep | Type 1 — Dealing in securities | 2008-10-13 | 2009-03-16 |
| SG Asset Finance (Hong Kong) Limited | Rep | Type 2 — Dealing in futures contracts | 2008-10-13 | 2009-03-16 |
| Newedge Broker Hong Kong Limited 新際經紀香港有限公司 |
Rep | Type 2 — Dealing in futures contracts | 2008-03-17 | 2009-03-16 |
| Newedge Broker Limited 新際經紀有限公司 |
Rep | Type 7 — Providing automated trading services | 2006-05-24 | 2009-03-16 |
| Newedge Broker Limited 新際經紀有限公司 |
Rep | Type 1 — Dealing in securities | 2006-05-22 | 2009-03-16 |
| Newedge Broker Limited 新際經紀有限公司 |
Rep | Type 2 — Dealing in futures contracts | 2006-05-22 | 2009-03-16 |
| KGI Asia Limited 凱基證券亞洲有限公司 |
Rep | Type 1 — Dealing in securities | 2006-01-03 | 2006-03-29 |
| KGI Securities (Hong Kong) Limited 凱基證券(香港)有限公司 |
Rep | Type 1 — Dealing in securities | 2006-01-03 | 2006-03-29 |
| KGI Futures (Hong Kong) Limited 凱基期貨(香港)有限公司 |
Rep | Type 2 — Dealing in futures contracts | 2006-01-03 | 2006-03-29 |