Mansfield, David Thomas

show old organisation names

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 GOLDMAN SACHS (ASIA) L.L.C. Rep Dealing in securities 2005-03-03 2006-01-17
2 GOLDMAN SACHS FUTURES (ASIA) LIMITED Rep Dealing in futures contracts 2005-03-03 2006-01-17
3 Credit Agricole Securities (Asia) Limited Rep Dealing in securities 2006-06-01 2008-06-16
4 Credit Suisse (Hong Kong) Limited Rep Dealing in securities 2008-06-24 2011-06-16
5 Credit Suisse Futures (Hong Kong) Limited Rep Automated trading services 2008-07-24 2008-11-24
6 Credit Suisse Futures (Hong Kong) Limited Rep Dealing in futures contracts 2008-07-24 2008-11-24
7 Credit Suisse (Hong Kong) Limited Rep Automated trading services 2008-11-06 2011-06-16
8 Credit Suisse (Hong Kong) Limited Rep Dealing in futures contracts 2008-11-06 2011-06-16
9 Credit Suisse Securities (Hong Kong) Limited Rep Dealing in securities 2011-04-12 2011-06-16
10 J.P. MORGAN BROKING (HONG KONG) LIMITED Rep Advising on securities 2012-01-16 2016-10-17
11 J.P. MORGAN BROKING (HONG KONG) LIMITED Rep Dealing in securities 2012-01-16 2016-10-17
12 J.P. MORGAN BROKING (HONG KONG) LIMITED Rep Advising on futures contracts 2012-01-16 2017-10-09
13 J.P. MORGAN BROKING (HONG KONG) LIMITED Rep Dealing in futures contracts 2012-01-16 2017-10-09
14 J.P. MORGAN BROKING (HONG KONG) LIMITED RO Advising on futures contracts 2017-10-09 2018-06-08
15 J.P. MORGAN BROKING (HONG KONG) LIMITED RO Dealing in futures contracts 2017-10-09 2018-06-08
16 Finex Hong Kong Limited RO Dealing in securities 2020-10-20 2022-07-20

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