SFC Licences of PATERSON James Willock
Source:
Official SFC record
Key: RE = Representative, RO = Responsible Officer, EO = Executive Officer
| Institution | Role | Licences | Start date | End date |
|---|---|---|---|---|
| CLSA Limited 中信里昂證券有限公司 | RE | 1 | 10 October 2012 | 01 November 2014 |
| CLSA Research Limited 里昂證券投資研究有限公司 | RO | 4 | 08 May 2009 | 26 February 2013 |
| CLSA Limited 中信里昂證券有限公司 | RO | 1 | 09 March 2007 | 10 October 2012 |
| CLSA Limited 中信里昂證券有限公司 | RE | 1 | 10 February 2006 | 09 March 2007 |
| CLSA Limited 中信里昂證券有限公司 | RE | 4 | 10 February 2006 | 12 September 2006 |
| CITIC Securities CLSA Capital Partners (HK) Limited 中信里昂資本(香港)有限公司 | RE | 9 | 02 November 2005 | 30 January 2006 |
| CITIC Securities CLSA Capital Partners (HK) Limited 中信里昂資本(香港)有限公司 | RE | 6 | 02 November 2005 | 30 January 2006 |
| CITIC Securities CLSA Capital Partners (HK) Limited 中信里昂資本(香港)有限公司 | RE | 4 | 02 November 2005 | 30 January 2006 |
| CLSA Limited 中信里昂證券有限公司 | RE | 4 | 01 April 2003 | 29 September 2005 |
| 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 | 9 | 01 April 2003 | 18 March 2004 |