SFC Licences of GRIFFITHS Richard Alan

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 RO 6 27 January 2022
BNP Paribas Securities (Asia) Limited 法國巴黎證券(亞洲)有限公司 RE 6 04 September 2015 27 January 2022
Macquarie Corporate (Hong Kong) Limited RO 6 16 July 2010 31 March 2015
Macquarie Capital Limited 麥格理資本股份有限公司 RO 6 16 July 2010 31 March 2015
Macquarie Capital Limited 麥格理資本股份有限公司 RO 1 16 July 2010 31 March 2015
Macquarie Corporate (Hong Kong) Limited RE 6 17 February 2010 16 July 2010
Macquarie Capital Limited 麥格理資本股份有限公司 RE 6 17 February 2010 16 July 2010
Macquarie Capital Limited 麥格理資本股份有限公司 RE 1 17 February 2010 16 July 2010
RBS Asia Corporate Finance Limited 蘇皇融資亞洲有限公司 RO 6 09 December 2008 10 February 2010
RBS Asia Corporate Finance Limited 蘇皇融資亞洲有限公司 RO 1 09 December 2008 10 February 2010
RBS Asia Corporate Finance Limited 蘇皇融資亞洲有限公司 RE 6 29 September 2008 09 December 2008
RBS Asia Corporate Finance Limited 蘇皇融資亞洲有限公司 RE 1 29 September 2008 09 December 2008
Houlihan Lokey Howard & Zukin (Europe) Limited RO 6 10 August 2007 14 August 2008
Houlihan Lokey Howard & Zukin (Europe) Limited RO 1 10 August 2007 14 August 2008
RBS Asia Corporate Finance Limited 蘇皇融資亞洲有限公司 RO 6 16 August 2006 12 May 2007
RBS Asia Corporate Finance Limited 蘇皇融資亞洲有限公司 RO 1 29 December 2005 12 May 2007
RBS Asia Corporate Finance Limited 蘇皇融資亞洲有限公司 RE 6 28 June 2006 16 August 2006
RBS Asia Corporate Finance Limited 蘇皇融資亞洲有限公司 RO 6 29 December 2005 28 June 2006
RBS Asia Corporate Finance Limited 蘇皇融資亞洲有限公司 RE 1 01 April 2003 29 December 2005
RBS Asia Corporate Finance Limited 蘇皇融資亞洲有限公司 RE 6 01 April 2003 29 December 2005
RBS Asia Corporate Finance Limited 蘇皇融資亞洲有限公司 RE 4 01 April 2003 24 January 2005
RBS Asia Corporate Finance Limited 蘇皇融資亞洲有限公司 RE 9 01 April 2003 24 January 2005