SFC Licences of CUBBON Nicholas William 郭健勤
Source:
Official SFC record
Key: RE = Representative, RO = Responsible Officer, EO = Executive Officer
Institution | Role | Licences | Start date | End date |
---|---|---|---|---|
Millennium Capital Management (Hong Kong) Limited | RE | 9 | 18 June 2020 | 29 August 2022 |
Millennium Capital Management (Hong Kong) Limited | RE | 9 | 13 November 2017 | 29 November 2019 |
Credit Suisse Securities (Hong Kong) Limited 瑞士信貸證券(香港)有限公司 | RE | 1 | 13 February 2015 | 21 July 2017 |
Credit Suisse (Hong Kong) Limited 瑞士信貸(香港)有限公司 | RE | 2 | 13 February 2015 | 21 July 2017 |
Credit Suisse (Hong Kong) Limited 瑞士信貸(香港)有限公司 | RE | 1 | 13 February 2015 | 21 July 2017 |
Merrill Lynch Far East Limited | RE | 2 | 18 January 2012 | 29 October 2014 |
Merrill Lynch (Asia Pacific) Limited | RE | 1 | 18 January 2012 | 29 October 2014 |
Merrill Lynch Far East Limited | RE | 1 | 18 January 2012 | 02 October 2013 |