SFC Licences of NIE Congcong 聶聰聰

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

Institution Role Licences Start date End date
CLSA Capital Markets Limited 中信里昂證券資本市場有限公司
RE 4 25 November 2021
CLSA Limited 中信里昂證券有限公司
RE 1 10 September 2021
CLSA Capital Markets Limited 中信里昂證券資本市場有限公司
RE 6 10 September 2021
BNP Paribas Securities (Asia) Limited 法國巴黎證券(亞洲)有限公司
RE 1 04 December 2018 16 July 2021
BNP Paribas Securities (Asia) Limited 法國巴黎證券(亞洲)有限公司
RE 6 21 November 2018 16 July 2021
BOCI Asia Limited 中銀國際亞洲有限公司
RE 6 21 December 2015 21 September 2018