SFC Licences of DIAO Stephen
Source:
Official SFC record
Key: RE = Representative, RO = Responsible Officer, EO = Executive Officer
| Institution | Role | Licences | Start date | End date |
|---|---|---|---|---|
| MUFG Securities Asia Limited 三菱日聯證券亞洲有限公司 | RO | 6 | 10 July 2014 | 10 December 2014 |
| MUFG Securities Asia Limited 三菱日聯證券亞洲有限公司 | RE | 1 | 23 May 2011 | 10 December 2014 |
| MUFG Securities Asia Limited 三菱日聯證券亞洲有限公司 | RE | 6 | 23 May 2011 | 10 July 2014 |
| Barclays Capital Asia Limited 巴克萊亞洲有限公司 | RE | 1 | 01 April 2003 | 28 April 2006 |
| Barclays Capital Asia Limited 巴克萊亞洲有限公司 | RE | 6 | 01 April 2003 | 28 April 2006 |
| Barclays Capital Asia Limited 巴克萊亞洲有限公司 | RE | 9 | 01 April 2003 | 31 August 2004 |
| Barclays Capital Asia Limited 巴克萊亞洲有限公司 | RE | 4 | 01 April 2003 | 31 August 2004 |