Gavin John Herrmann
This page summarises the Hong Kong Securities and Futures Commission (SFC) public register record for Gavin John Herrmann, a licensed Responsible Officer with CE reference BCA220. Currently licensed at 2 firm(s): ICAP Securities Hong Kong Limited, Tullett Prebon (Hong Kong) Limited. Active regulated activities: Type 1 — Dealing in securities; Type 2 — Dealing in futures contracts; Type 7 — Providing automated trading services. Total licence records on file: 10.
More firms doing Dealing in securities →More firms doing Dealing in futures contracts →More firms doing Providing automated trading services →
Licence history
| Firm | Role | Regulated activity | From | To |
|---|---|---|---|---|
| ICAP Securities Hong Kong Limited | RO | Type 1 — Dealing in securities | 2025-01-13 | present |
| ICAP Securities Hong Kong Limited | RO | Type 2 — Dealing in futures contracts | 2025-01-13 | present |
| ICAP Securities Hong Kong Limited | RO | Type 7 — Providing automated trading services | 2025-01-13 | present |
| Tullett Prebon (Hong Kong) Limited | RO | Type 1 — Dealing in securities | 2024-01-11 | present |
| Tullett Prebon (Hong Kong) Limited | RO | Type 2 — Dealing in futures contracts | 2024-01-11 | present |
| Tullett Prebon (Hong Kong) Limited | RO | Type 7 — Providing automated trading services | 2024-01-11 | present |
| ICAP Securities Hong Kong Limited | Rep | Type 1 — Dealing in securities | 2024-11-18 | 2025-01-13 |
| ICAP Securities Hong Kong Limited | Rep | Type 2 — Dealing in futures contracts | 2024-11-18 | 2025-01-13 |
| ICAP Securities Hong Kong Limited | Rep | Type 7 — Providing automated trading services | 2024-11-18 | 2025-01-13 |
| Barclays Capital Asia Limited 巴克萊亞洲有限公司 |
Rep | Type 1 — Dealing in securities | 2013-10-15 | 2015-03-31 |