Roche, Thomas Damian (SFC:ACU450)
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 | CLSA FUTURES LIMITED | Rep | Advising on futures contracts | 2003-06-10 | Rep | Asset management | 2003-06-10 | Rep | Dealing in futures contracts | 2003-07-25 | RO | Dealing in futures contracts | 2003-07-25 | 2004-12-13 |
| 2 | CLSA LIMITED | Rep | Advising on corporate finance | 2003-06-10 | Rep | Advising on securities | 2003-06-10 | Rep | Asset management | 2003-06-10 | Rep | Dealing in securities | 2003-07-25 | RO | Dealing in securities | 2003-07-25 | 2004-12-13 |
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