SFC Licences of BANFIELD Colin Dennis

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

Institution Role Licences Start date End date
Citigroup Global Markets Asia Limited 花旗環球金融亞洲有限公司 RO 6 02 December 2011
Citigroup Global Markets Asia Limited 花旗環球金融亞洲有限公司 RO 1 02 December 2011
Citigroup Global Markets Hong Kong Futures and Securities Limited RE 1 21 June 2010 31 January 2012
Citigroup Global Markets Asia Limited 花旗環球金融亞洲有限公司 RE 6 21 June 2010 02 December 2011
Citigroup Global Markets Asia Limited 花旗環球金融亞洲有限公司 RE 1 21 June 2010 02 December 2011
Nomura International (Hong Kong) Limited 野村國際(香港)有限公司 RO 6 12 May 2009 20 March 2010
Nomura International (Hong Kong) Limited 野村國際(香港)有限公司 RO 4 12 May 2009 20 March 2010
Nomura International (Hong Kong) Limited 野村國際(香港)有限公司 RO 1 12 May 2009 20 March 2010
Nomura International (Hong Kong) Limited 野村國際(香港)有限公司 RE 6 10 October 2008 12 May 2009
Nomura International (Hong Kong) Limited 野村國際(香港)有限公司 RE 4 10 October 2008 12 May 2009
Lehman Brothers Asia Limited 美國雷曼兄弟亞洲投資有限公司 RO 6 16 October 2007 29 September 2008
Lehman Brothers Asia Limited 美國雷曼兄弟亞洲投資有限公司 RO 4 16 October 2007 29 September 2008
Lehman Brothers Asia Limited 美國雷曼兄弟亞洲投資有限公司 RE 6 13 September 2007 16 October 2007
Lehman Brothers Asia Limited 美國雷曼兄弟亞洲投資有限公司 RE 4 13 September 2007 16 October 2007
Aberdeen International Investment Management Limited RO 4 25 April 2006 16 March 2007
Credit Suisse Securities (Hong Kong) Limited 瑞士信貸證券(香港)有限公司 RO 4 02 December 2005 16 July 2007
Credit Suisse (Hong Kong) Limited 瑞士信貸(香港)有限公司 RO 1 02 December 2005 16 July 2007
Credit Suisse (Hong Kong) Limited 瑞士信貸(香港)有限公司 RO 6 17 July 2003 16 July 2007
Credit Suisse (Hong Kong) Limited 瑞士信貸(香港)有限公司 RO 4 17 July 2003 16 July 2007
Credit Suisse Securities (Hong Kong) Limited 瑞士信貸證券(香港)有限公司 RO 6 01 April 2003 16 July 2007