Caughey, Nicholas Egerton
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 | Credit Agricole Securities (Asia) Limited | Rep | Advising on corporate finance | 2004-09-24 | |
| 2 | Credit Agricole Securities (Asia) Limited | Rep | Asset management | 2004-09-24 | |
| 3 | RBS Asia Securities (Hong Kong) Limited | Rep | Advising on corporate finance | 2005-02-04 | |
| 4 | RBS Asia Securities (Hong Kong) Limited | Rep | Advising on securities | 2005-02-04 | |
| 5 | RBS Asia Securities (Hong Kong) Limited | Rep | Asset management | 2005-02-04 | |
| 6 | RBS Asia Securities (Hong Kong) Limited | Rep | Dealing in securities | 2005-02-04 | |
| 7 | Credit Agricole Securities (Asia) Limited | Rep | Advising on securities | 2005-03-23 | |
| 8 | Credit Agricole Securities (Asia) Limited | Rep | Dealing in securities | 2006-03-15 |
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