SFC Licences of ARTHUR-DICK Joseph
Source:
Official SFC record
Key: RE = Representative, RO = Responsible Officer, EO = Executive Officer
| Institution | Role | Licences | Start date | End date |
|---|---|---|---|---|
| Vantage Capital Markets HK Limited | RE | 2 | 31 January 2022 | 30 September 2022 |
| Vantage Capital Markets HK Limited | RE | 1 | 31 January 2022 | 30 September 2022 |
| GFI (HK) Securities L.L.C. | RE | 7 | 15 January 2018 | 04 May 2021 |
| GFI (HK) Securities L.L.C. | RE | 1 | 15 January 2018 | 04 May 2021 |
| ICAP Equities Asia Limited | RE | 1 | 15 June 2016 | 13 October 2017 |
| Qantex Capital Markets Limited | RE | 2 | 07 March 2012 | 13 May 2016 |
| T.F.S. Derivatives HK Limited | RE | 2 | 02 November 2010 | 14 March 2011 |
| T.F.S. Derivatives HK Limited | RE | 1 | 02 November 2010 | 14 March 2011 |