Osman Riaz Malik
This page summarises the Hong Kong Securities and Futures Commission (SFC) public register record for Osman Riaz Malik, a licensed Responsible Officer with CE reference ARD259. Currently licensed at 1 firm(s): J.P. Morgan Broking (Hong Kong) Limited. Active regulated activities: Type 1 — Dealing in securities; Type 2 — Dealing in futures contracts; Type 4 — Advising on securities; Type 5 — Advising on futures contracts. Total licence records on file: 10.
More firms doing Dealing in securities →More firms doing Dealing in futures contracts →More firms doing Advising on securities →More firms doing Advising on futures contracts →
Licence history
| Firm | Role | Regulated activity | From | To |
|---|---|---|---|---|
| J.P. Morgan Broking (Hong Kong) Limited | Rep | Type 2 — Dealing in futures contracts | 2020-01-09 | present |
| J.P. Morgan Broking (Hong Kong) Limited | Rep | Type 5 — Advising on futures contracts | 2020-01-09 | present |
| J.P. Morgan Broking (Hong Kong) Limited | RO | Type 1 — Dealing in securities | 2019-01-22 | present |
| J.P. Morgan Broking (Hong Kong) Limited | RO | Type 4 — Advising on securities | 2019-01-22 | present |
| J.P. Morgan Broking (Hong Kong) Limited | Rep | Type 1 — Dealing in securities | 2018-08-30 | 2019-01-22 |
| J.P. Morgan Broking (Hong Kong) Limited | Rep | Type 4 — Advising on securities | 2018-08-30 | 2019-01-22 |
| J.P. Morgan Broking (Hong Kong) Limited | Rep | Type 1 — Dealing in securities | 2008-05-29 | 2016-10-05 |
| J.P. Morgan Broking (Hong Kong) Limited | Rep | Type 2 — Dealing in futures contracts | 2008-05-29 | 2017-03-31 |
| J.P. Morgan Broking (Hong Kong) Limited | Rep | Type 4 — Advising on securities | 2008-05-29 | 2016-10-05 |
| J.P. Morgan Broking (Hong Kong) Limited | Rep | Type 5 — Advising on futures contracts | 2008-05-29 | 2017-03-31 |