SFC Licences of WELCH JR David John
Source:
Official SFC record
Key: RE = Representative, RO = Responsible Officer, EO = Executive Officer
Institution | Role | Licences | Start date | End date |
---|---|---|---|---|
Sanford C. Bernstein (Hong Kong) Limited 盛博香港有限公司 | RE | 4 | 05 April 2016 | 01 September 2016 |
Sanford C. Bernstein (Hong Kong) Limited 盛博香港有限公司 | RE | 1 | 05 April 2016 | 01 September 2016 |
Yunfeng Financial Markets Limited 雲鋒金融市場有限公司 | RO | 1 | 06 March 2014 | 02 February 2016 |
Yunfeng Financial Markets Limited 雲鋒金融市場有限公司 | RE | 1 | 05 December 2012 | 06 March 2014 |
Jefferies Hong Kong Limited 富瑞金融集團香港有限公司 | RE | 1 | 16 November 2010 | 14 November 2012 |
HSBC Securities Brokers (Asia) Limited 滙豐證券經紀(亞洲)有限公司 | RE | 1 | 30 April 2009 | 06 August 2010 |