SFC Licences of MCCARTHY Sean Joseph
Source:
Official SFC record
Key: RE = Representative, RO = Responsible Officer, EO = Executive Officer
| Institution | Role | Licences | Start date | End date |
|---|---|---|---|---|
| UBS Securities Asia Limited | RE | 1 | 15 November 2019 | 22 November 2019 |
| UBS Securities Asia Limited | RE | 1 | 10 October 2019 | 17 October 2019 |
| Deutsche Securities Asia Limited 德意志證券亞洲有限公司 | RE | 2 | 03 August 2018 | 02 November 2018 |
| Deutsche Securities Asia Limited 德意志證券亞洲有限公司 | RE | 1 | 03 August 2018 | 02 November 2018 |
| Deutsche Securities Asia Limited 德意志證券亞洲有限公司 | RE | 2 | 28 January 2015 | 30 January 2015 |
| Deutsche Securities Asia Limited 德意志證券亞洲有限公司 | RE | 1 | 28 January 2015 | 30 January 2015 |
| Goldman Sachs (Asia) L.L.C. 高盛(亞洲)有限責任公司 | RE | 1 | 17 November 2010 | 30 August 2011 |
| Goldman Sachs Futures (Asia) Limited 高盛期貨(亞洲)有限公司 | RE | 2 | 17 November 2010 | 30 August 2011 |