SFC Licences of TSE Phoebe Yuen Ting 謝宛庭
Source:
Official SFC record
Key: RE = Representative, RO = Responsible Officer, EO = Executive Officer
Institution | Role | Licences | Start date | End date |
---|---|---|---|---|
Charles-Lim Capital Limited | RO | 9 | 26 April 2021 | |
Charles-Lim Capital Limited | RE | 9 | 18 December 2015 | 26 April 2021 |
Barclays Capital Asia Limited 巴克萊亞洲有限公司 | RE | 4 | 18 July 2011 | 07 December 2015 |
Credit Suisse (Hong Kong) Limited 瑞士信貸(香港)有限公司 | RE | 4 | 12 August 2009 | 20 May 2011 |
Nomura International (Hong Kong) Limited 野村國際(香港)有限公司 | RE | 6 | 09 October 2008 | 01 July 2009 |
Nomura International (Hong Kong) Limited 野村國際(香港)有限公司 | RE | 4 | 09 October 2008 | 01 July 2009 |
Lehman Brothers Asia Limited 美國雷曼兄弟亞洲投資有限公司 | RE | 6 | 01 August 2007 | 29 September 2008 |
Lehman Brothers Asia Limited 美國雷曼兄弟亞洲投資有限公司 | RE | 4 | 01 August 2007 | 29 September 2008 |