SFC Licences of ASHBY Nicholas Stephen
Source:
Official SFC record
Key: RE = Representative, RO = Responsible Officer, EO = Executive Officer
Institution | Role | Licences | Start date | End date |
---|---|---|---|---|
Tullett Prebon (Hong Kong) Limited | RE | 7 | 05 January 2021 | 31 March 2021 |
Tullett Prebon (Hong Kong) Limited | RE | 1 | 05 January 2021 | 31 March 2021 |
ICAP Securities Hong Kong Limited | RO | 7 | 31 January 2020 | 08 December 2020 |
ICAP Securities Hong Kong Limited | RO | 1 | 31 January 2020 | 08 December 2020 |
ICAP Securities Hong Kong Limited | RE | 7 | 18 November 2019 | 31 January 2020 |
ICAP Securities Hong Kong Limited | RE | 1 | 18 November 2019 | 31 January 2020 |
GFI (HK) Securities L.L.C. | RE | 1 | 07 September 2016 | 17 May 2019 |
GFI (HK) Securities L.L.C. | RE | 7 | 07 September 2016 | 17 May 2019 |