SFC Licences of BERRISFORD Carl Thomas
Source:
Official SFC record
Key: RE = Representative, RO = Responsible Officer, EO = Executive Officer
| Institution | Role | Licences | Start date | End date |
|---|---|---|---|---|
| Piper Jaffray Asia Securities Limited 派杰亞洲証券有限公司 | RE | 1 | 13 May 2004 | 04 August 2005 |
| SMBC Nikko Securities (Hong Kong) Limited 日興證券(香港)有限公司 | RE | 1 | 16 March 2004 | 04 May 2004 |
| HSBC Securities (Asia) Limited | RE | 1 | 23 May 2003 | 15 January 2004 |