SFC Licences of CAREY Andre' Lionel
Source:
Official SFC record
Key: RE = Representative, RO = Responsible Officer, EO = Executive Officer
| Institution | Role | Licences | Start date | End date |
|---|---|---|---|---|
| Tora Trading Services Limited | RO | 7 | 30 October 2012 | 17 December 2013 |
| Tora Trading Services Limited | RO | 2 | 30 October 2012 | 17 December 2013 |
| Tora Trading Services Limited | RO | 1 | 30 October 2012 | 17 December 2013 |
| Tora Trading Services Limited | RE | 7 | 10 April 2012 | 30 October 2012 |
| Tora Trading Services Limited | RE | 2 | 10 April 2012 | 30 October 2012 |
| Tora Trading Services Limited | RE | 1 | 10 April 2012 | 30 October 2012 |
| Cantor Fitzgerald (Hong Kong) Capital Markets Limited 建達(香港)資本市場有限公司 | RE | 2 | 09 February 2012 | 27 February 2012 |
| Cantor Fitzgerald (Hong Kong) Capital Markets Limited 建達(香港)資本市場有限公司 | RE | 1 | 20 October 2011 | 27 February 2012 |
| Keefe, Bruyette & Woods Asia Limited | RO | 1 | 03 March 2010 | 28 July 2011 |
| Fox-Pitt, Kelton (Asia) Limited | RO | 1 | 30 May 2006 | 16 October 2009 |
| Fox-Pitt, Kelton (Asia) Limited | RE | 1 | 24 April 2006 | 30 May 2006 |
| Newedge Broker Limited 新際經紀有限公司 | RO | 7 | 08 April 2005 | 31 March 2006 |
| Newedge Broker Limited 新際經紀有限公司 | RO | 1 | 08 April 2005 | 31 March 2006 |
| Newedge Broker Limited 新際經紀有限公司 | RE | 2 | 02 November 2004 | 31 March 2006 |
| Newedge Broker Limited 新際經紀有限公司 | RE | 7 | 02 November 2004 | 08 April 2005 |
| Newedge Broker Limited 新際經紀有限公司 | RE | 1 | 27 October 2004 | 08 April 2005 |
| Standard Chartered Securities (Hong Kong) Limited 渣打證券(香港)有限公司 | RE | 4 | 22 December 2003 | 04 October 2004 |
| Standard Chartered Securities (Hong Kong) Limited 渣打證券(香港)有限公司 | RE | 1 | 22 December 2003 | 04 October 2004 |