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 |