SFC Licences of NGUYEN Kim Thi
Source:
Official SFC record
Key: RE = Representative, RO = Responsible Officer, EO = Executive Officer
| Institution | Role | Licences | Start date | End date |
|---|---|---|---|---|
| CITIC Securities CLSA Capital Partners (HK) Limited 中信里昂資本(香港)有限公司 | RE | 6 | 14 May 2008 | 27 October 2010 |
| CITIC Securities CLSA Capital Partners (HK) Limited 中信里昂資本(香港)有限公司 | RE | 9 | 28 September 2006 | 27 October 2010 |
| CITIC Securities CLSA Capital Partners (HK) Limited 中信里昂資本(香港)有限公司 | RE | 4 | 28 September 2006 | 27 October 2010 |
| CLSA Limited 中信里昂證券有限公司 | RE | 1 | 20 February 2006 | 28 May 2008 |