Nicola Pantone
This page summarises the Hong Kong Securities and Futures Commission (SFC) public register record for Nicola Pantone ( ), a licensed former licensee with CE reference ANT913. Total licence records on file: 15.
Licence history
| Firm | Role | Regulated activity | From | To |
|---|---|---|---|---|
| UBS Securities Asia Limited | Rep | Type 1 — Dealing in securities | 2024-08-20 | 2025-10-01 |
| UBS Securities Hong Kong Limited | Rep | Type 1 — Dealing in securities | 2024-08-16 | 2025-10-01 |
| UBS Securities Asia Limited | RO | Type 1 — Dealing in securities | 2023-10-20 | 2024-08-20 |
| UBS Securities Hong Kong Limited | RO | Type 1 — Dealing in securities | 2023-10-20 | 2024-08-16 |
| UBS Securities Asia Limited | Rep | Type 1 — Dealing in securities | 2022-01-12 | 2023-10-20 |
| UBS Securities Hong Kong Limited | Rep | Type 1 — Dealing in securities | 2022-01-12 | 2023-10-20 |
| UBS Securities Hong Kong Limited | Rep | Type 7 — Providing automated trading services | 2022-01-12 | 2025-10-01 |
| UBS Securities Asia Limited | Rep | Type 2 — Dealing in futures contracts | 2021-12-17 | 2025-10-01 |
| UBS Securities Hong Kong Limited | Rep | Type 2 — Dealing in futures contracts | 2021-12-17 | 2025-10-01 |
| HSBC Broking Futures (Hong Kong) Limited 滙豐金融期貨(香港)有限公司 |
RO | Type 2 — Dealing in futures contracts | 2016-08-19 | 2021-07-13 |
| HSBC Broking Futures (Hong Kong) Limited 滙豐金融期貨(香港)有限公司 |
Rep | Type 2 — Dealing in futures contracts | 2014-03-06 | 2016-08-19 |
| SG Securities (HK) Limited 法國興業證券(香港)有限公司 |
Rep | Type 2 — Dealing in futures contracts | 2008-12-17 | 2011-07-14 |
| SG Securities (HK) Limited 法國興業證券(香港)有限公司 |
Rep | Type 1 — Dealing in securities | 2008-07-24 | 2011-07-14 |
| Deutsche Securities Asia Limited 德意志證券亞洲有限公司 |
Rep | Type 1 — Dealing in securities | 2006-08-11 | 2008-01-17 |
| Deutsche Securities Asia Limited 德意志證券亞洲有限公司 |
Rep | Type 2 — Dealing in futures contracts | 2006-08-11 | 2008-01-17 |