SFC Licences of NGUYEN The-Xuan-Dieu
Source:
Official SFC record
Key: RE = Representative, RO = Responsible Officer, EO = Executive Officer
| Institution | Role | Licences | Start date | End date |
|---|---|---|---|---|
| Merrill Lynch (Asia Pacific) Limited | RE | 1 | 14 March 2022 | |
| Merrill Lynch Far East Limited | RE | 2 | 17 September 2019 | |
| Merrill Lynch Far East Limited | RE | 1 | 17 September 2019 | |
| UBS Derivatives Hong Kong Limited | RE | 2 | 29 January 2014 | 08 March 2014 |
| UBS Securities Asia Limited | RE | 2 | 29 January 2014 | 08 March 2014 |
| UBS Securities Hong Kong Limited | RE | 1 | 29 January 2014 | 08 March 2014 |
| UBS Securities Asia Limited | RE | 1 | 02 July 2013 | 08 March 2014 |