SFC Licences of TSAI Lieh 蔡洌
Source:
Official SFC record
Key: RE = Representative, RO = Responsible Officer, EO = Executive Officer
Institution | Role | Licences | Start date | End date |
---|---|---|---|---|
Huatai Financial Holdings (Hong Kong) Limited 華泰金融控股(香港)有限公司 | RE | 6 | 31 October 2016 | 14 January 2019 |
Huatai Financial Holdings (Hong Kong) Limited 華泰金融控股(香港)有限公司 | RE | 4 | 31 October 2016 | 14 January 2019 |
Huatai Financial Holdings (Hong Kong) Limited 華泰金融控股(香港)有限公司 | RE | 1 | 31 October 2016 | 14 January 2019 |
Barclays Capital Asia Limited 巴克萊亞洲有限公司 | RE | 6 | 17 December 2015 | 20 July 2016 |
Barclays Capital Asia Limited 巴克萊亞洲有限公司 | RE | 1 | 17 December 2015 | 20 July 2016 |
ICBC International Capital Limited 工銀國際融資有限公司 | RE | 6 | 26 June 2013 | 02 October 2015 |
ICBC International Capital Limited 工銀國際融資有限公司 | RE | 1 | 26 June 2013 | 02 October 2015 |
Citigroup Global Markets Asia Limited 花旗環球金融亞洲有限公司 | RE | 6 | 16 November 2011 | 18 December 2012 |
Citigroup Global Markets Asia Limited 花旗環球金融亞洲有限公司 | RE | 1 | 16 November 2011 | 18 December 2012 |
Citigroup Global Markets Hong Kong Futures and Securities Limited | RE | 1 | 16 November 2011 | 31 January 2012 |