SFC Licences of CARROLL Shane
Source:
Official SFC record
Key: RE = Representative, RO = Responsible Officer, EO = Executive Officer
| Institution | Role | Licences | Start date | End date |
|---|---|---|---|---|
| UBS Securities Hong Kong Limited | RE | 2 | 24 April 2018 | |
| UBS Securities Hong Kong Limited | RE | 1 | 24 April 2018 | |
| UBS Securities Asia Limited | RE | 2 | 24 April 2018 | |
| UBS Securities Asia Limited | RE | 1 | 24 April 2018 | |
| Citigroup Global Markets Asia Limited 花旗環球金融亞洲有限公司 | RE | 4 | 13 October 2016 | 26 February 2018 |
| Citigroup Global Markets Asia Limited 花旗環球金融亞洲有限公司 | RE | 2 | 13 October 2016 | 26 February 2018 |
| Citigroup Global Markets Asia Limited 花旗環球金融亞洲有限公司 | RE | 1 | 13 October 2016 | 26 February 2018 |
| SG Securities (HK) Limited 法國興業證券(香港)有限公司 | RE | 2 | 18 August 2014 | 24 June 2016 |
| SG Securities (HK) Limited 法國興業證券(香港)有限公司 | RE | 1 | 18 August 2014 | 24 June 2016 |