SFC Licences of NGUYEN Thanh Cao
Source:
Official SFC record
Key: RE = Representative, RO = Responsible Officer, EO = Executive Officer
| Institution | Role | Licences | Start date | End date |
|---|---|---|---|---|
| Jefferies Hong Kong Limited 富瑞金融集團香港有限公司 | RE | 1 | 21 August 2023 | |
| CLSA Limited 中信里昂證券有限公司 | RE | 1 | 10 September 2021 | 27 April 2023 |
| Jefferies Hong Kong Limited 富瑞金融集團香港有限公司 | RE | 1 | 01 March 2016 | 17 May 2021 |
| Barclays Capital Asia Limited 巴克萊亞洲有限公司 | RE | 2 | 22 October 2014 | 21 January 2016 |
| Barclays Capital Asia Limited 巴克萊亞洲有限公司 | RE | 1 | 22 October 2014 | 21 January 2016 |
| GFI (HK) Securities L.L.C. | RO | 7 | 16 April 2009 | 27 May 2010 |
| GFI (HK) Securities L.L.C. | RO | 1 | 22 January 2009 | 27 May 2010 |
| GFI (HK) Securities L.L.C. | RE | 1 | 14 November 2008 | 22 January 2009 |
| Bear Stearns Asia Limited 貝爾斯登亞洲有限公司 | RE | 2 | 01 December 2005 | 30 May 2008 |
| Bear Stearns Asia Limited 貝爾斯登亞洲有限公司 | RO | 1 | 14 June 2005 | 30 May 2008 |
| Bear Stearns Asia Limited 貝爾斯登亞洲有限公司 | RE | 1 | 01 April 2003 | 14 June 2005 |
| Bear Stearns Hong Kong Limited 貝爾斯登香港有限公司 | RE | 2 | 01 April 2003 | 09 December 2004 |
| Bear Stearns Asia Limited 貝爾斯登亞洲有限公司 | RE | 9 | 01 April 2003 | 09 December 2004 |
| Bear Stearns Asia Limited 貝爾斯登亞洲有限公司 | RE | 7 | 01 April 2003 | 09 December 2004 |
| Bear Stearns Asia Limited 貝爾斯登亞洲有限公司 | RE | 6 | 01 April 2003 | 09 December 2004 |
| Bear Stearns Asia Limited 貝爾斯登亞洲有限公司 | RE | 4 | 01 April 2003 | 09 December 2004 |
| Bear Stearns Hong Kong Limited 貝爾斯登香港有限公司 | RE | 9 | 01 April 2003 | 09 December 2004 |
| Bear Stearns Hong Kong Limited 貝爾斯登香港有限公司 | RE | 5 | 01 April 2003 | 09 December 2004 |