SFC Licences of BASHAM Caroline Charlotte
Source:
Official SFC record
Key: RE = Representative, RO = Responsible Officer, EO = Executive Officer
| Institution | Role | Licences | Start date | End date |
|---|---|---|---|---|
| BNP Paribas Securities (Asia) Limited 法國巴黎證券(亞洲)有限公司 | RE | 1 | 15 August 2008 | 02 April 2009 |
| UBS Securities Asia Limited | RE | 6 | 01 April 2003 | 17 August 2004 |
| UBS Securities Asia Limited | RE | 9 | 01 April 2003 | 17 August 2004 |
| UBS Securities Asia Limited | RE | 1 | 01 April 2003 | 17 August 2004 |
| UBS Securities Asia Limited | RE | 4 | 01 April 2003 | 17 August 2004 |