SFC Licences of LEE Richard Anthony Treadgold

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

Institution Role Licences Start date End date
CLSA Capital Markets Limited 中信里昂證券資本市場有限公司
RE 4, 6 06 April 2016 09 September 2016
CLSA Limited 中信里昂證券有限公司
RE 1 22 January 2015 09 September 2016
CLSA Limited 中信里昂證券有限公司
RE 4 22 January 2015 21 January 2016
CLSA Capital Markets Limited 中信里昂證券資本市場有限公司
RO 4, 6 16 January 2006 06 April 2016
CLSA Capital Markets Limited 中信里昂證券資本市場有限公司
RE 4, 6 01 April 2003 16 January 2006
CLSA Capital Markets Limited 中信里昂證券資本市場有限公司
RE 9 01 April 2003 08 March 2005