Carey, Andre' Lionel
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 | CANTOR FITZGERALD (HONG KONG) CAPITAL MARKETS LIMITED | Rep | Dealing in securities | 2011-10-20 | 2012-02-27 | Rep | Dealing in futures contracts | 2012-02-09 | 2012-02-27 |
| 2 | FOX-PITT, KELTON (ASIA) LIMITED | Rep | Dealing in securities | 2006-04-24 | 2006-05-30 | RO | Dealing in securities | 2006-05-30 | 2009-10-16 |
| 3 | Keefe, Bruyette & Woods Asia Limited | RO | Dealing in securities | 2010-03-03 | 2011-07-28 |
| 4 | Newedge Broker Limited | Rep | Dealing in securities | 2004-10-27 | 2005-04-08 | Rep | Automated trading services | 2004-11-02 | 2005-04-08 | Rep | Dealing in futures contracts | 2004-11-02 | 2006-03-31 | RO | Automated trading services | 2005-04-08 | 2006-03-31 | RO | Dealing in securities | 2005-04-08 | 2006-03-31 |
| 5 | Standard Chartered Securities (Hong Kong) Limited | Rep | Advising on securities | 2003-12-22 | 2004-10-04 | Rep | Dealing in securities | 2003-12-22 | 2004-10-04 |
| 6 | Tora Trading Services Limited (HK) | Rep | Automated trading services | 2012-04-10 | 2012-10-30 | Rep | Dealing in futures contracts | 2012-04-10 | 2012-10-30 | Rep | Dealing in securities | 2012-04-10 | 2012-10-30 | RO | Automated trading services | 2012-10-30 | 2013-12-17 | RO | Dealing in futures contracts | 2012-10-30 | 2013-12-17 | RO | Dealing in securities | 2012-10-30 | 2013-12-17 |
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