SFC Licences of KO Raymond 高力文
Source:
Official SFC record
Key: RE = Representative, RO = Responsible Officer, EO = Executive Officer
| Institution | Role | Licences | Start date | End date |
|---|---|---|---|---|
| Sanford C. Bernstein (Hong Kong) Limited 盛博香港有限公司 | RE | 4 | 24 October 2011 | 11 December 2012 |
| Sanford C. Bernstein (Hong Kong) Limited 盛博香港有限公司 | RE | 1 | 24 October 2011 | 11 December 2012 |
| AllianceBernstein Hong Kong Limited 聯博香港有限公司 | RE | 4 | 04 October 2010 | 24 October 2011 |
| AllianceBernstein Hong Kong Limited 聯博香港有限公司 | RE | 1 | 04 October 2010 | 24 October 2011 |
| Execution Noble (Hong Kong) Limited (trading as Espirito Santo Securities) | RE | 1 | 18 January 2010 | 27 August 2010 |
| CLSA Futures Limited 里昂期貨有限公司 | RE | 2 | 08 October 2008 | 18 September 2009 |
| CLSA Limited 中信里昂證券有限公司 | RE | 1 | 01 April 2003 | 18 September 2009 |
| CLSA Limited 中信里昂證券有限公司 | RE | 9 | 01 April 2003 | 16 March 2004 |
| CLSA Limited 中信里昂證券有限公司 | RE | 6 | 01 April 2003 | 16 March 2004 |
| CLSA Limited 中信里昂證券有限公司 | RE | 4 | 01 April 2003 | 16 March 2004 |