Charles Dingman Brodhead III
This page summarises the Hong Kong Securities and Futures Commission (SFC) public register record for Charles Dingman Brodhead III ( ), a licensed former licensee with CE reference AUW882. Total licence records on file: 5.
Licence history
| Firm | Role | Regulated activity | From | To |
|---|---|---|---|---|
| Qube Research & Technologies Hong Kong Limited | Rep | Type 9 — Asset management | 2018-01-02 | 2018-06-02 |
| Credit Suisse (Hong Kong) Limited 瑞士信貸(香港)有限公司 |
Rep | Type 9 — Asset management | 2016-11-23 | 2017-12-31 |
| Credit Suisse (Hong Kong) Limited 瑞士信貸(香港)有限公司 |
Rep | Type 1 — Dealing in securities | 2010-03-24 | 2017-11-06 |
| Credit Suisse (Hong Kong) Limited 瑞士信貸(香港)有限公司 |
Rep | Type 2 — Dealing in futures contracts | 2010-03-24 | 2017-11-06 |
| Credit Suisse (Hong Kong) Limited 瑞士信貸(香港)有限公司 |
Rep | Type 7 — Providing automated trading services | 2010-03-24 | 2013-11-01 |