SFC Licences of STEPHENS John William

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

Institution	Role	Licences	Start date	End date
UBS Securities Asia Limited	RE	4	09 October 2023
Credit Suisse (Hong Kong) Limited 瑞士信貸(香港)有限公司	RO	5	02 April 2020	20 September 2023
Credit Suisse (Hong Kong) Limited 瑞士信貸(香港)有限公司	RO	4	02 April 2020	20 September 2023
Credit Suisse (Hong Kong) Limited 瑞士信貸(香港)有限公司	RE	4	04 February 2020	02 April 2020
Credit Suisse (Hong Kong) Limited 瑞士信貸(香港)有限公司	RE	5	22 January 2020	02 April 2020
Deutsche Securities Asia Limited 德意志證券亞洲有限公司	RO	5	15 December 2017	03 December 2019
Deutsche Securities Asia Limited 德意志證券亞洲有限公司	RE	5	17 May 2017	15 December 2017
Cantor Fitzgerald (Hong Kong) Capital Markets Limited 建達(香港)資本市場有限公司	RO	4	26 July 2013	17 August 2013
Cantor Fitzgerald (Hong Kong) Capital Markets Limited 建達(香港)資本市場有限公司	RE	1	11 June 2013	17 August 2013
Cantor Fitzgerald (Hong Kong) Capital Markets Limited 建達(香港)資本市場有限公司	RE	4	11 June 2013	26 July 2013
Credit Agricole Securities (Asia) Limited 東方匯理證券(亞洲)有限公司	RE	1	07 August 2012	13 November 2012
Knight Capital Asia Limited 澧盈資本亞洲有限公司	RO	4	05 January 2011	04 August 2011
Knight Capital Asia Limited 澧盈資本亞洲有限公司	RE	1	09 September 2010	04 August 2011
Knight Capital Asia Limited 澧盈資本亞洲有限公司	RE	4	09 September 2010	05 January 2011
MainFirst Securities Hong Kong Limited	RE	4	03 May 2010	12 July 2010
AM Investment Partners HK, Limited	RE	9	25 June 2009	30 September 2009
Deephaven Asia Limited	RE	9	09 July 2007	24 February 2009
Deephaven Asia Limited	RE	4	04 June 2007	24 February 2009
Sattva Investment Advisors Limited	RO	5	30 October 2003	18 May 2007
Sattva Investment Advisors Limited	RO	4	30 October 2003	18 May 2007