Stephen Duffus Weiss
This page summarises the Hong Kong Securities and Futures Commission (SFC) public register record for Stephen Duffus Weiss ( ), a licensed former licensee with CE reference ASL811. Total licence records on file: 6.
Licence history
| Firm | Role | Regulated activity | From | To |
|---|---|---|---|---|
| RBS Asia Corporate Finance Limited 蘇皇融資亞洲有限公司 |
RO | Type 6 — Advising on corporate finance | 2010-08-19 | 2011-01-01 |
| RBS Asia Corporate Finance Limited 蘇皇融資亞洲有限公司 |
Rep | Type 6 — Advising on corporate finance | 2010-02-18 | 2010-08-19 |
| RBS Asia Corporate Finance Limited 蘇皇融資亞洲有限公司 |
RO | Type 1 — Dealing in securities | 2009-08-18 | 2011-01-01 |
| RBS Asia Corporate Finance Limited 蘇皇融資亞洲有限公司 |
RO | Type 6 — Advising on corporate finance | 2009-08-18 | 2010-02-18 |
| RBS Asia Corporate Finance Limited 蘇皇融資亞洲有限公司 |
Rep | Type 1 — Dealing in securities | 2009-02-25 | 2009-08-18 |
| RBS Asia Corporate Finance Limited 蘇皇融資亞洲有限公司 |
Rep | Type 6 — Advising on corporate finance | 2009-02-25 | 2009-08-18 |