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 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