SFC Licences of RIDDICK Andrew William
Source:
Official SFC record
Key: RE = Representative, RO = Responsible Officer, EO = Executive Officer
| Institution | Role | Licences | Start date | End date |
|---|---|---|---|---|
| CLSA Limited 中信里昂證券有限公司 | RE | 4 | 12 December 2013 | 01 December 2019 |
| CLSA Limited 中信里昂證券有限公司 | RE | 1 | 12 December 2013 | 01 December 2019 |
| CLSA Limited 中信里昂證券有限公司 | RO | 4 | 01 April 2003 | 12 December 2013 |
| CLSA Limited 中信里昂證券有限公司 | RO | 1 | 01 April 2003 | 12 December 2013 |
| CLSA Limited 中信里昂證券有限公司 | RO | 9 | 01 April 2003 | 17 August 2004 |
| CLSA Limited 中信里昂證券有限公司 | RO | 6 | 01 April 2003 | 17 August 2004 |