SFC Licences of KAO Richard 高敬倫

Source: Official SFC record
Key: RE = Representative, RO = Responsible Officer, EO = Executive Officer

Institution Role Licences Start date End date
UBS Securities Hong Kong Limited RO 6 30 January 2024
UBS Securities Hong Kong Limited RE 6 12 October 2023 30 January 2024
Credit Suisse (Hong Kong) Limited 瑞士信貸(香港)有限公司 RO 6 10 December 2015 02 October 2023
Credit Suisse (Hong Kong) Limited 瑞士信貸(香港)有限公司 RO 4 10 December 2015 02 October 2023
Credit Suisse (Hong Kong) Limited 瑞士信貸(香港)有限公司 RO 1 10 December 2015 02 October 2023
Credit Suisse (Hong Kong) Limited 瑞士信貸(香港)有限公司 RE 6 06 November 2015 10 December 2015
Credit Suisse (Hong Kong) Limited 瑞士信貸(香港)有限公司 RE 4 06 November 2015 10 December 2015
Credit Suisse (Hong Kong) Limited 瑞士信貸(香港)有限公司 RE 1 06 November 2015 10 December 2015
Standard Chartered Securities (Hong Kong) Limited 渣打證券(香港)有限公司 RO 6 25 February 2010 08 January 2015
Standard Chartered Securities (Hong Kong) Limited 渣打證券(香港)有限公司 RO 4 25 February 2010 08 January 2015
Standard Chartered Securities (Hong Kong) Limited 渣打證券(香港)有限公司 RO 1 25 February 2010 08 January 2015
Standard Chartered Securities (Hong Kong) Limited 渣打證券(香港)有限公司 RE 6 26 June 2009 25 February 2010
Standard Chartered Securities (Hong Kong) Limited 渣打證券(香港)有限公司 RE 4 26 June 2009 25 February 2010
Standard Chartered Securities (Hong Kong) Limited 渣打證券(香港)有限公司 RE 1 26 June 2009 25 February 2010
Goldman Sachs (Asia) L.L.C. 高盛(亞洲)有限責任公司 RE 6 04 May 2007 07 November 2008
Goldman Sachs (Asia) L.L.C. 高盛(亞洲)有限責任公司 RE 1 04 May 2007 07 November 2008
Credit Suisse (Hong Kong) Limited 瑞士信貸(香港)有限公司 RE 6 04 January 2007 09 March 2007
Credit Suisse (Hong Kong) Limited 瑞士信貸(香港)有限公司 RE 4 04 January 2007 09 March 2007
Credit Suisse (Hong Kong) Limited 瑞士信貸(香港)有限公司 RE 1 04 January 2007 09 March 2007
Credit Suisse Securities (Hong Kong) Limited 瑞士信貸證券(香港)有限公司 RE 6 01 April 2003 09 March 2007
Credit Suisse Securities (Hong Kong) Limited 瑞士信貸證券(香港)有限公司 RE 4 01 April 2003 09 March 2007
Credit Suisse Securities (Hong Kong) Limited 瑞士信貸證券(香港)有限公司 RE 9 01 April 2003 03 January 2005