SFC Licences of TO Chak Yan, William 陶澤恩
Source:
Official SFC record
Key: RE = Representative, RO = Responsible Officer, EO = Executive Officer
| Institution | Role | Licences | Start date | End date |
|---|---|---|---|---|
| Jefferies Hong Kong Limited 富瑞金融集團香港有限公司 | RE | 4 | 13 October 2023 | |
| Jefferies Hong Kong Limited 富瑞金融集團香港有限公司 | RE | 1 | 28 October 2014 | |
| Guosen Securities (HK) Brokerage Company, Limited 國信證券(香港)經紀有限公司 | RE | 4 | 19 September 2013 | 23 September 2014 |
| Guosen Securities (HK) Brokerage Company, Limited 國信證券(香港)經紀有限公司 | RE | 1 | 11 April 2013 | 23 September 2014 |
| CLSA Limited 中信里昂證券有限公司 | RE | 1 | 19 July 2010 | 13 June 2012 |