SFC Licences of STONE Richard Neil
Source:
Official SFC record
Key: RE = Representative, RO = Responsible Officer, EO = Executive Officer
| Institution | Role | Licences | Start date | End date |
|---|---|---|---|---|
| Standard Chartered Securities (Hong Kong) Limited 渣打證券(香港)有限公司 | RE | 4 | 27 July 2010 | 08 January 2015 |
| Standard Chartered Securities (Hong Kong) Limited 渣打證券(香港)有限公司 | RE | 1 | 27 July 2010 | 08 January 2015 |
| CLSA Limited 中信里昂證券有限公司 | RE | 1 | 01 April 2003 | 29 March 2005 |
| CLSA Limited 中信里昂證券有限公司 | RE | 9 | 01 April 2003 | 18 March 2004 |
| CLSA Limited 中信里昂證券有限公司 | RE | 6 | 01 April 2003 | 18 March 2004 |
| CLSA Limited 中信里昂證券有限公司 | RE | 4 | 01 April 2003 | 18 March 2004 |