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 |