SFC Licences of KOO Vanessa Lee Ying 顧琍瀅
Source:
Official SFC record
Key: RE = Representative, RO = Responsible Officer, EO = Executive Officer
Institution | Role | Licences | Start date | End date |
---|---|---|---|---|
Barclays Bank PLC | 6 | 24 September 2014 | ||
Barclays Bank PLC | 1 | 24 September 2014 | ||
Barclays Capital Asia Limited 巴克萊亞洲有限公司 | RO | 1 | 21 August 2014 | |
Barclays Capital Asia Limited 巴克萊亞洲有限公司 | RE | 1 | 18 May 2011 | 21 August 2014 |
Barclays Capital Asia Limited 巴克萊亞洲有限公司 | RO | 6 | 18 May 2011 | |
Goldman Sachs (Asia) L.L.C. 高盛(亞洲)有限責任公司 | RO | 6 | 10 April 2008 | 11 March 2010 |
Goldman Sachs (Asia) L.L.C. 高盛(亞洲)有限責任公司 | RE | 6 | 01 April 2003 | 10 April 2008 |
Goldman Sachs (Asia) L.L.C. 高盛(亞洲)有限責任公司 | RE | 1 | 01 April 2003 | 10 January 2008 |
Goldman Sachs (Asia) L.L.C. 高盛(亞洲)有限責任公司 | RE | 9 | 01 April 2003 | 13 October 2004 |
Goldman Sachs (Asia) L.L.C. 高盛(亞洲)有限責任公司 | RE | 4 | 01 April 2003 | 13 October 2004 |