SFC Licences of ROCHE Thomas Damian
Source:
Official SFC record
Key: RE = Representative, RO = Responsible Officer, EO = Executive Officer
Institution | Role | Licences | Start date | End date |
---|---|---|---|---|
CLSA Futures Limited 里昂期貨有限公司 | RO | 2 | 25 July 2003 | 13 December 2004 |
CLSA Limited 中信里昂證券有限公司 | RO | 1 | 25 July 2003 | 13 December 2004 |
CLSA Limited 中信里昂證券有限公司 | RE | 1 | 01 April 2003 | 25 July 2003 |
CLSA Futures Limited 里昂期貨有限公司 | RE | 2 | 01 April 2003 | 25 July 2003 |
CLSA Limited 中信里昂證券有限公司 | RE | 6 | 01 April 2003 | 10 June 2003 |
CLSA Limited 中信里昂證券有限公司 | RE | 9 | 01 April 2003 | 10 June 2003 |
CLSA Futures Limited 里昂期貨有限公司 | RE | 5 | 01 April 2003 | 10 June 2003 |
CLSA Futures Limited 里昂期貨有限公司 | RE | 9 | 01 April 2003 | 10 June 2003 |
CLSA Limited 中信里昂證券有限公司 | RE | 4 | 01 April 2003 | 10 June 2003 |