SFC Licences of BARATTE Nicolas Guy Gabriel
Source:
Official SFC record
Key: RE = Representative, RO = Responsible Officer, EO = Executive Officer
| Institution | Role | Licences | Start date | End date |
|---|---|---|---|---|
| Macquarie Capital Limited 麥格理資本股份有限公司 | RE | 4 | 26 August 2019 | 14 March 2024 |
| CLSA Limited 中信里昂證券有限公司 | RE | 4 | 24 December 2012 | 21 August 2019 |
| CLSA Research Limited 里昂證券投資研究有限公司 | RE | 4 | 11 August 2011 | 24 December 2012 |
| Eastspring Investments (Hong Kong) Limited (trading as Eastspring Investments) 瀚亞投資(香港)有限公司 (以(瀚亞投資)名義經營業務) | RE | 1 | 03 January 2011 | 07 July 2011 |
| Eastspring Investments (Hong Kong) Limited (trading as Eastspring Investments) 瀚亞投資(香港)有限公司 (以(瀚亞投資)名義經營業務) | RE | 4 | 03 January 2011 | 07 July 2011 |