Gordon, Daniel (SFC:AHE138)
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 | AllianceBernstein Hong Kong Limited | Rep | Advising on securities | 2010-06-21 | 2010-09-07 | Rep | Dealing in securities | 2010-06-21 | 2010-09-07 | RO | Advising on securities | 2010-09-07 | 2011-10-24 | RO | Dealing in securities | 2010-09-07 | 2011-10-24 |
| 2 | Credit Agricole Securities (Asia) Limited | Rep | Advising on corporate finance | 2003-09-01 | Rep | Advising on securities | 2003-09-01 | Rep | Asset management | 2003-09-01 | Rep | Dealing in securities | 2008-09-01 |
| 3 | ICAP Equities Asia Limited | RO | Advising on securities | 2008-12-22 | 2010-04-30 | RO | Dealing in securities | 2008-12-22 | 2010-04-30 |
| 4 | RBS Asia Futures Limited | Rep | Dealing in futures contracts | 2003-09-04 | 2008-09-01 |
| 5 | RBS Asia Securities (Hong Kong) Limited | Rep | Advising on corporate finance | 2003-09-01 | Rep | Advising on securities | 2003-09-01 | Rep | Asset management | 2003-09-01 | Rep | Dealing in securities | 2005-02-04 |
| 6 | Sanford C. Bernstein (Hong Kong) Limited | RO | Advising on securities | 2011-09-28 | 2024-04-09 | RO | Dealing in securities | 2011-09-28 | 2024-04-09 |
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