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 |