SFC licenceholder BFW348 WELLS Alan Frank

Licences

Source: Official SFC record
Key: RE = Representative, RO = Responsible Officer, EO = Executive Officer

Institution Role Licences Start date End date
Credit Suisse Securities (Hong Kong) Limited 瑞士信貸證券(香港)有限公司 RE 7 (Providing Automated Trading Services), 1 (Dealing in Securities) 2017-12-05
Credit Suisse (Hong Kong) Limited 瑞士信貸(香港)有限公司 RE 1 (Dealing in Securities), 2 (Dealing in Futures Contracts) 2017-12-05
Ord Minnett Hong Kong Limited RE 4 (Advising on Securities), 1 (Dealing in Securities) 2016-06-14 2017-08-16
CLSA Limited 中信里昂證券有限公司 RE 4 (Advising on Securities) 2015-07-15 2016-01-06