SFC Licences of HERMAN Neal Thomson
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 | 06 November 2017 | 07 November 2017 |
| Sanford C. Bernstein (Hong Kong) Limited 盛博香港有限公司 | RE | 4 | 17 September 2014 | 29 September 2014 |
| Sanford C. Bernstein (Hong Kong) Limited 盛博香港有限公司 | RE | 1 | 17 September 2014 | 29 September 2014 |
| Sanford C. Bernstein (Hong Kong) Limited 盛博香港有限公司 | RE | 4 | 07 January 2013 | 14 July 2014 |
| Sanford C. Bernstein (Hong Kong) Limited 盛博香港有限公司 | RE | 1 | 07 January 2013 | 14 July 2014 |
| Cantor Fitzgerald (Hong Kong) Capital Markets Limited 建達(香港)資本市場有限公司 | RE | 4 | 23 November 2011 | 01 December 2012 |
| Cantor Fitzgerald (Hong Kong) Capital Markets Limited 建達(香港)資本市場有限公司 | RE | 1 | 04 November 2011 | 01 December 2012 |
| Knight Capital Asia Limited 澧盈資本亞洲有限公司 | RE | 1 | 29 July 2010 | 19 August 2011 |
| Knight Capital Asia Limited 澧盈資本亞洲有限公司 | RE | 4 | 29 July 2010 | 04 August 2011 |