Cao, John 曹鈞
SFC licenses
Rep=Representative, RO=Responsible Officer. A person without a starting date was in that role since at least 1-Apr-2003 when the current register began.
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| Organisation | Role | Activity | From | Until | |
|---|---|---|---|---|---|
| 1 | BARCLAYS CAPITAL ASIA LIMITED | Rep | Advising on corporate finance | 2009-05-05 | 2013-01-24 | Rep | Dealing in securities | 2009-05-05 | 2013-01-24 | Rep | Advising on corporate finance | 2014-05-05 | 2014-06-03 | Rep | Dealing in securities | 2014-05-05 | 2014-06-03 |
| 2 | Citigroup Global Markets Asia Limited | Rep | Advising on corporate finance | 2004-06-30 | 2004-09-02 | Rep | Dealing in securities | 2004-06-30 | 2004-09-02 | Rep | Advising on corporate finance | 2006-01-17 | 2006-04-24 | Rep | Dealing in securities | 2006-01-17 | 2006-04-24 |
| 3 | CITIGROUP GLOBAL MARKETS HONG KONG FUTURES AND SECURITIES LIMITED | Rep | Dealing in securities | 2004-06-30 | 2004-09-02 | Rep | Dealing in securities | 2006-01-17 | 2006-04-24 |
| 4 | Morgan Stanley Asia Limited | Rep | Advising on corporate finance | 2006-06-06 | 2008-11-21 | Rep | Dealing in securities | 2006-06-06 | 2008-11-21 |
| 5 | UBS SECURITIES HONG KONG LIMITED | Rep | Advising on corporate finance | 2017-01-18 | 2018-09-01 |
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