Nguyen, Thanh Cao
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 | Dealing in futures contracts | 2014-10-22 | 2016-01-21 | Rep | Dealing in securities | 2014-10-22 | 2016-01-21 |
| 2 | BEAR STEARNS ASIA LIMITED | Rep | Advising on corporate finance | 2004-12-09 | Rep | Advising on securities | 2004-12-09 | Rep | Asset management | 2004-12-09 | Rep | Automated trading services | 2004-12-09 | Rep | Dealing in securities | 2005-06-14 | RO | Dealing in securities | 2005-06-14 | 2008-05-30 | Rep | Dealing in futures contracts | 2005-12-01 | 2008-05-30 |
| 3 | BEAR STEARNS HONG KONG LIMITED | Rep | Advising on futures contracts | 2004-12-09 | Rep | Asset management | 2004-12-09 | Rep | Dealing in futures contracts | 2004-12-09 |
| 4 | CLSA LIMITED | Rep | Dealing in securities | 2021-09-10 | 2023-04-27 |
| 5 | GFI (HK) SECURITIES L.L.C. | Rep | Dealing in securities | 2008-11-14 | 2009-01-22 | RO | Dealing in securities | 2009-01-22 | 2010-05-27 | RO | Automated trading services | 2009-04-16 | 2010-05-27 |
| 6 | Jefferies Hong Kong Limited | Rep | Dealing in securities | 2016-03-01 | 2021-05-17 | Rep | Dealing in securities | 2023-08-21 |
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