SFC licenceholder AQI796 STEPHENS Anthony Jeetendra

Licences

Source: Official SFC record
Key: RE = Representative, RO = Responsible Officer, EO = Executive Officer

Updated: 07 July 2020

Institution Role Licences Start date End date
Credit Suisse Securities (Hong Kong) Limited 瑞士信貸證券(香港)有限公司 RE [7] (Providing Automated Trading Services) 08 February 2018
Credit Suisse (Hong Kong) Limited 瑞士信貸(香港)有限公司 RE [1] (Dealing in Securities), [2] (Dealing in Futures Contracts) 29 January 2018
Credit Suisse Securities (Hong Kong) Limited 瑞士信貸證券(香港)有限公司 RE [1] (Dealing in Securities) 29 January 2018
Goldman Sachs (Asia) Securities Limited 高盛(亞洲)證券有限公司 RE [1] (Dealing in Securities), [2] (Dealing in Futures Contracts) 11 October 2016 17 October 2017
Goldman Sachs (Asia) L.L.C. 高盛(亞洲)有限責任公司 RE [1] (Dealing in Securities) 31 July 2014 17 October 2017
Goldman Sachs (Asia) Securities Limited 高盛(亞洲)證券有限公司 RE [1] (Dealing in Securities) 31 July 2014 10 October 2016
Goldman Sachs Futures (Asia) Limited 高盛期貨(亞洲)有限公司 RE [2] (Dealing in Futures Contracts) 31 July 2014 10 October 2016
UBS Securities Hong Kong Limited RE [1] (Dealing in Securities) 21 May 2012 15 May 2014
UBS Securities Asia Limited RE [1] (Dealing in Securities), [2] (Dealing in Futures Contracts) 21 May 2012 15 May 2014
Merrill Lynch (Asia Pacific) Limited RE [1] (Dealing in Securities) 22 January 2008 19 March 2010
Merrill Lynch Far East Limited RE [1] (Dealing in Securities) 22 January 2008 19 March 2010
Merrill Lynch Futures (Hong Kong) Limited RE [2] (Dealing in Futures Contracts) 22 January 2008 19 March 2010