SFC Licences of CAO Haifeng 曹海峰
Source:
Official SFC record
Key: RE = Representative, RO = Responsible Officer, EO = Executive Officer
| Institution | Role | Licences | Start date | End date |
|---|---|---|---|---|
| UBS Securities Asia Limited | RE | 4 | 26 June 2023 | |
| UBS Securities Asia Limited | RE | 4 | 15 May 2023 | 22 May 2023 |
| UBS Securities Asia Limited | RE | 4 | 17 March 2023 | 22 March 2023 |
| UBS Securities Asia Limited | RE | 4 | 03 November 2022 | 15 November 2022 |
| UBS Securities Asia Limited | RE | 4 | 16 January 2020 | 15 February 2020 |
| UBS Securities Asia Limited | RE | 4 | 16 May 2019 | 23 May 2019 |
| Nomura International (Hong Kong) Limited 野村國際(香港)有限公司 | RE | 4 | 20 July 2015 | 24 August 2018 |