SFC Licences of BROOKS Christopher John
Source:
Official SFC record
Key: RE = Representative, RO = Responsible Officer, EO = Executive Officer
| Institution | Role | Licences | Start date | End date |
|---|---|---|---|---|
| CITIC Securities (Hong Kong) Limited 中信證券(香港)有限公司 | RO | 6 | 05 December 2008 | 14 August 2009 |
| CITIC Securities (Hong Kong) Limited 中信證券(香港)有限公司 | RO | 4 | 05 December 2008 | 14 August 2009 |
| CITIC Securities (Hong Kong) Limited 中信證券(香港)有限公司 | RE | 6 | 17 September 2008 | 05 December 2008 |
| CITIC Securities (Hong Kong) Limited 中信證券(香港)有限公司 | RE | 4 | 17 September 2008 | 05 December 2008 |
| Rothschild & Co Hong Kong Limited 羅斯柴爾德恩可香港有限公司 | RO | 6 | 27 April 2005 | 31 July 2006 |
| Rothschild & Co Hong Kong Limited 羅斯柴爾德恩可香港有限公司 | RO | 4 | 27 April 2005 | 31 July 2006 |