Swain, Thomas Patrick
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 | Jefferies Hong Kong Limited | Rep | Advising on corporate finance | 2023-12-06 | Rep | Advising on securities | 2023-12-06 | Rep | Dealing in securities | 2023-12-06 |
| 2 | Credit Suisse (Hong Kong) Limited | Rep | Advising on securities | 2013-03-13 | 2020-05-20 | Rep | Dealing in securities | 2013-03-13 | 2020-05-20 | RO | Advising on securities | 2020-05-20 | 2023-10-03 | RO | Dealing in securities | 2020-05-20 | 2023-10-03 |
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