SFC Licences of WERTHEIMER Richard Miles
Source:
Official SFC record
Key: RE = Representative, RO = Responsible Officer, EO = Executive Officer
| Institution | Role | Licences | Start date | End date |
|---|---|---|---|---|
| Macquarie Capital Limited 麥格理資本股份有限公司 | RE | 1 | 14 February 2011 | 30 November 2012 |
| Yuanta Securities (Hong Kong) Company Limited 元大證券(香港)有限公司 | RO | 4 | 07 January 2009 | 30 September 2009 |
| Yuanta Securities (Hong Kong) Company Limited 元大證券(香港)有限公司 | RO | 1 | 07 January 2009 | 30 September 2009 |
| Yuanta Securities (Hong Kong) Company Limited 元大證券(香港)有限公司 | RE | 4 | 03 May 2006 | 07 January 2009 |
| Yuanta Securities (Hong Kong) Company Limited 元大證券(香港)有限公司 | RE | 1 | 03 May 2006 | 07 January 2009 |
| Rich Union Securities (H.K.) Limited 瑞元證券(香港)有限公司 | RE | 9 | 03 May 2006 | 15 December 2008 |
| Mirabaud (Far East) Limited | RO | 4 | 15 June 2005 | 28 April 2006 |
| Mirabaud (Far East) Limited | RO | 9 | 14 March 2005 | 28 April 2006 |
| Mirabaud (Asia) Limited | RO | 4 | 14 March 2005 | 27 January 2006 |
| Mirabaud (Asia) Limited | RO | 1 | 14 March 2005 | 27 January 2006 |