SFC Licences of KU Kwan Patrick 顧琨
Source:
Official SFC record
Key: RE = Representative, RO = Responsible Officer, EO = Executive Officer
| Institution | Role | Licences | Start date | End date |
|---|---|---|---|---|
| Huatai Financial Holdings (Hong Kong) Limited 華泰金融控股(香港)有限公司 | RE | 6 | 29 July 2015 | 29 September 2017 |
| Huatai Financial Holdings (Hong Kong) Limited 華泰金融控股(香港)有限公司 | RE | 4 | 29 July 2015 | 29 September 2017 |
| Huatai Financial Holdings (Hong Kong) Limited 華泰金融控股(香港)有限公司 | RE | 1 | 29 July 2015 | 29 September 2017 |
| Barclays Capital Asia Limited 巴克萊亞洲有限公司 | RE | 6 | 28 October 2013 | 03 June 2014 |
| Barclays Capital Asia Limited 巴克萊亞洲有限公司 | RE | 1 | 28 October 2013 | 03 June 2014 |
| Merrill Lynch Far East Limited | RE | 6 | 17 February 2010 | 24 August 2013 |
| Merrill Lynch (Asia Pacific) Limited | RE | 1 | 17 February 2010 | 24 August 2013 |
| Merrill Lynch (Asia Pacific) Limited | RE | 4 | 17 February 2010 | 24 August 2013 |
| Merrill Lynch (Asia Pacific) Limited | RE | 6 | 17 February 2010 | 24 August 2013 |
| Merrill Lynch Far East Limited | RE | 1 | 17 February 2010 | 24 August 2013 |
| Merrill Lynch Far East Limited | RE | 4 | 17 February 2010 | 24 August 2013 |