David Lawrence Weiss
This page summarises the Hong Kong Securities and Futures Commission (SFC) public register record for David Lawrence Weiss ( ), a licensed former licensee with CE reference BAN010. Total licence records on file: 7.
Licence history
| Firm | Role | Regulated activity | From | To |
|---|---|---|---|---|
| XCap Partners Limited 睿本國際有限公司 |
RO | Type 1 — Dealing in securities | 2020-07-02 | 2021-04-19 |
| XCap Partners Limited 睿本國際有限公司 |
RO | Type 4 — Advising on securities | 2020-07-02 | 2021-04-19 |
| XCap Partners Limited 睿本國際有限公司 |
RO | Type 6 — Advising on corporate finance | 2020-07-02 | 2021-04-19 |
| Shun Loong Securities Company Limited 順隆證券行有限公司 |
Rep | Type 1 — Dealing in securities | 2019-08-23 | 2020-06-16 |
| Citigroup Global Markets Asia Limited 花旗環球金融亞洲有限公司 |
Rep | Type 2 — Dealing in futures contracts | 2015-04-15 | 2019-03-22 |
| Citigroup Global Markets Asia Limited 花旗環球金融亞洲有限公司 |
Rep | Type 1 — Dealing in securities | 2012-11-26 | 2019-03-22 |
| Citigroup Global Markets Asia Limited 花旗環球金融亞洲有限公司 |
Rep | Type 4 — Advising on securities | 2012-11-26 | 2019-03-22 |