Patrick Xavier Whale
This page summarises the Hong Kong Securities and Futures Commission (SFC) public register record for Patrick Xavier Whale ( ), a licensed former licensee with CE reference ARO879. Total licence records on file: 16.
Licence history
| Firm | Role | Regulated activity | From | To |
|---|---|---|---|---|
| Credit Suisse Securities (Hong Kong) Limited 瑞士信貸證券(香港)有限公司 |
Rep | Type 7 — Providing automated trading services | 2021-10-19 | 2021-12-03 |
| Credit Suisse (Hong Kong) Limited 瑞士信貸(香港)有限公司 |
Rep | Type 1 — Dealing in securities | 2021-10-05 | 2021-12-03 |
| Credit Suisse Securities (Hong Kong) Limited 瑞士信貸證券(香港)有限公司 |
Rep | Type 1 — Dealing in securities | 2021-10-05 | 2021-12-03 |
| Credit Suisse (Hong Kong) Limited 瑞士信貸(香港)有限公司 |
Rep | Type 2 — Dealing in futures contracts | 2021-10-05 | 2021-12-03 |
| J.P. Morgan Broking (Hong Kong) Limited | Rep | Type 1 — Dealing in securities | 2019-06-10 | 2021-05-28 |
| J.P. Morgan Broking (Hong Kong) Limited | Rep | Type 2 — Dealing in futures contracts | 2019-06-10 | 2021-05-28 |
| J.P. Morgan Broking (Hong Kong) Limited | Rep | Type 4 — Advising on securities | 2019-06-10 | 2021-05-28 |
| J.P. Morgan Broking (Hong Kong) Limited | Rep | Type 5 — Advising on futures contracts | 2019-06-10 | 2021-05-28 |
| Marshall Wace Asia Limited | Rep | Type 1 — Dealing in securities | 2015-06-17 | 2016-10-28 |
| Marshall Wace Asia Limited | Rep | Type 9 — Asset management | 2015-06-17 | 2016-10-28 |
| Merrill Lynch Far East Limited | Rep | Type 7 — Providing automated trading services | 2013-08-20 | 2014-04-01 |
| Merrill Lynch (Asia Pacific) Limited | Rep | Type 1 — Dealing in securities | 2012-12-14 | 2014-04-01 |
| Merrill Lynch Far East Limited | Rep | Type 1 — Dealing in securities | 2012-12-14 | 2014-04-01 |
| Merrill Lynch Far East Limited | Rep | Type 2 — Dealing in futures contracts | 2012-12-14 | 2014-04-01 |
| Merrill Lynch (Asia Pacific) Limited | Rep | Type 7 — Providing automated trading services | 2012-12-14 | 2013-09-23 |
| CLSA Limited 中信里昂證券有限公司 |
Rep | Type 1 — Dealing in securities | 2008-09-10 | 2009-11-10 |