SFC Licences of GLADSTONE Thomas Xenophon
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 | RO | 1 | 21 May 2014 | 16 April 2019 |
CLSA Futures Limited 里昂期貨有限公司 | RE | 2 | 02 January 2013 | 15 February 2016 |
CLSA Limited 中信里昂證券有限公司 | RE | 1 | 02 January 2013 | 21 May 2014 |
J.P. Morgan Broking (Hong Kong) Limited | RE | 4 | 24 July 2003 | 20 March 2012 |
J.P. Morgan Broking (Hong Kong) Limited | RE | 1 | 24 July 2003 | 20 March 2012 |
J.P. Morgan Broking (Hong Kong) Limited | RE | 7 | 24 July 2003 | 02 December 2003 |