SFC licenceholder BFW348 WELLS Alan Frank

Licences

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

Updated: 16 February 2020

Institution Role Licences Start date End date
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) 05 December 2017
Credit Suisse Securities (Hong Kong) Limited 瑞士信貸證券(香港)有限公司 RE [1] (Dealing in Securities), [7] (Providing Automated Trading Services) 05 December 2017
Ord Minnett Hong Kong Limited RE [1] (Dealing in Securities), [4] (Advising on Securities) 14 June 2016 16 August 2017
CLSA Limited 中信里昂證券有限公司 RE [4] (Advising on Securities) 15 July 2015 06 January 2016