Prashant Dwivedi
This page summarises the Hong Kong Securities and Futures Commission (SFC) public register record for Prashant Dwivedi ( ), a licensed former licensee with CE reference BPN735. Total licence records on file: 6.
Licence history
| Firm | Role | Regulated activity | From | To |
|---|---|---|---|---|
| UBS Securities Asia Limited | Rep | Type 1 — Dealing in securities | 2023-11-03 | 2024-04-25 |
| UBS Securities Hong Kong Limited | Rep | Type 1 — Dealing in securities | 2023-11-03 | 2024-04-25 |
| Credit Suisse (Hong Kong) Limited 瑞士信貸(香港)有限公司 |
RO | Type 1 — Dealing in securities | 2022-02-10 | 2023-10-08 |
| Credit Suisse (Hong Kong) Limited 瑞士信貸(香港)有限公司 |
RO | Type 4 — Advising on securities | 2022-02-10 | 2023-10-08 |
| Credit Suisse (Hong Kong) Limited 瑞士信貸(香港)有限公司 |
Rep | Type 1 — Dealing in securities | 2020-04-21 | 2022-02-10 |
| Credit Suisse (Hong Kong) Limited 瑞士信貸(香港)有限公司 |
Rep | Type 4 — Advising on securities | 2020-04-21 | 2022-02-10 |