SFC Licences of SHARMAN Roland Herbert
Source:
Official SFC record
Key: RE = Representative, RO = Responsible Officer, EO = Executive Officer
| Institution | Role | Licences | Start date | End date |
|---|---|---|---|---|
| Vantage Capital Markets HK Limited | RE | 1 | 12 July 2023 | |
| BTIG Hong Kong Limited | RE | 1 | 13 May 2016 | 13 April 2023 |
| Tora Trading Services Limited | RE | 1 | 26 January 2015 | 31 March 2016 |
| Macquarie Capital Limited 麥格理資本股份有限公司 | RE | 1 | 28 December 2004 | 23 February 2012 |
| Jefferies Pacific Limited | RO | 1 | 01 April 2003 | 27 June 2003 |