Zhao, Tao (SFC:AZX096) 趙濤
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 | HAITONG INTERNATIONAL SECURITIES COMPANY LIMITED | Rep | Dealing in securities | 2014-07-18 | 2014-12-13 |
| 2 | ORIENTAL PATRON SECURITIES LIMITED | Rep | Dealing in securities | 2012-07-24 | 2014-06-14 | Rep | Dealing in securities | 2014-12-31 | 2016-03-29 |
| 3 | SBI China Capital Financial Services Limited | Rep | Dealing in securities | 2017-08-31 | 2018-04-11 | RO | Dealing in securities | 2018-04-11 | 2021-05-10 | Rep | Advising on securities | 2018-12-11 | 2020-11-26 | RO | Advising on securities | 2020-11-26 | 2021-05-10 |
| 4 | SBI China Capital Hong Kong Securities Limited | Rep | Advising on corporate finance | 2019-11-19 | 2021-05-10 |
| 5 | SOUTHWEST SECURITIES (HK) BROKERAGE LIMITED | Rep | Dealing in securities | 2016-05-30 | 2016-11-22 | RO | Dealing in securities | 2016-11-22 | 2017-05-31 |
| 6 | SOUTHWEST SECURITIES (HK) CAPITAL LIMITED | Rep | Dealing in securities | 2016-05-30 | 2016-11-22 | Rep | Advising on corporate finance | 2016-05-30 | 2017-05-31 | RO | Dealing in securities | 2016-11-22 | 2017-05-31 |
| 7 | WEST BULL SECURITIES LIMITED | Rep | Advising on securities | 2021-11-10 | 2021-12-13 | Rep | Dealing in securities | 2021-11-10 | 2021-12-13 | RO | Advising on securities | 2021-12-13 | RO | Dealing in securities | 2021-12-13 |
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