SFC Licences of KIM Warren Ho-Joong
Source:
Official SFC record
Key: RE = Representative, RO = Responsible Officer, EO = Executive Officer
| Institution | Role | Licences | Start date | End date |
|---|---|---|---|---|
| CLSA Limited 中信里昂證券有限公司 | RE | 1 | 05 September 2018 | |
| Daiwa Capital Markets Hong Kong Limited 大和資本市場香港有限公司 | RE | 1 | 24 September 2010 | 10 March 2015 |