SFC Licences of NGUYEN Nguyen Thanh
Source:
Official SFC record
Key: RE = Representative, RO = Responsible Officer, EO = Executive Officer
| Institution | Role | Licences | Start date | End date |
|---|---|---|---|---|
| Liquidnet Asia Limited 利貫交易網亞洲有限公司 | RE | 7 | 23 March 2021 | |
| Liquidnet Asia Limited 利貫交易網亞洲有限公司 | RE | 1 | 23 March 2021 | |
| BTIG Hong Kong Limited | RE | 1 | 10 January 2020 | 22 January 2021 |
| RHB Securities Hong Kong Limited 興業金融證券有限公司 | RE | 4 | 17 November 2009 | 05 January 2020 |
| RHB Futures Hong Kong Limited 興業金融期貨有限公司 | RE | 2 | 30 September 2009 | 05 January 2020 |
| RHB Securities Hong Kong Limited 興業金融證券有限公司 | RE | 1 | 30 September 2009 | 05 January 2020 |
| CLSA Futures Limited 里昂期貨有限公司 | RE | 2 | 20 November 2007 | 05 March 2009 |
| CLSA Limited 中信里昂證券有限公司 | RE | 1 | 21 February 2007 | 05 March 2009 |