SFC Licences of PUTNAM David Paul

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

Institution	Role	Licences	Start date	End date
Anglo Chinese Corporate Finance, Limited 英高財務顧問有限公司	RE	6	11 January 2022
Anglo Chinese Corporate Finance, Limited 英高財務顧問有限公司	RE	4	11 January 2022
Anglo Chinese Corporate Finance, Limited 英高財務顧問有限公司	RE	1	11 January 2022
Houlihan Lokey (China) Limited 華利安諾基(中國)有限公司	RE	6	24 June 2013	06 June 2014
Houlihan Lokey (China) Limited 華利安諾基(中國)有限公司	RE	4	24 June 2013	06 June 2014
Houlihan Lokey (China) Limited 華利安諾基(中國)有限公司	RE	1	24 June 2013	06 June 2014
Houlihan Lokey (China) Limited 華利安諾基(中國)有限公司	RO	6	09 October 2008	26 May 2013
Houlihan Lokey (China) Limited 華利安諾基(中國)有限公司	RO	4	09 October 2008	26 May 2013
Houlihan Lokey (China) Limited 華利安諾基(中國)有限公司	RO	1	09 October 2008	26 May 2013
Houlihan Lokey Howard & Zukin (Europe) Limited	RO	6	15 May 2007	31 March 2009
Houlihan Lokey Howard & Zukin (Europe) Limited	RO	4	15 May 2007	31 March 2009
Houlihan Lokey Howard & Zukin (Europe) Limited	RO	1	15 May 2007	31 March 2009
Citigroup Global Markets Hong Kong Futures and Securities Limited	RE	1	13 April 2005	31 August 2006
Citigroup Global Markets Asia Limited 花旗環球金融亞洲有限公司	RE	6	01 April 2003	31 August 2006
Citigroup Global Markets Asia Limited 花旗環球金融亞洲有限公司	RE	1	01 April 2003	31 August 2006
Citigroup Global Markets Asia Limited 花旗環球金融亞洲有限公司	RE	9	01 April 2003	03 March 2005
Citigroup Global Markets Asia Limited 花旗環球金融亞洲有限公司	RE	7	01 April 2003	03 March 2005
Citigroup Global Markets Asia Limited 花旗環球金融亞洲有限公司	RE	4	01 April 2003	03 March 2005