Gordon, Daniel (SFC:AHE138)

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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 2003-09-01
2 Credit Agricole Securities (Asia) Limited Rep Advising on securities 2003-09-01
3 Credit Agricole Securities (Asia) Limited Rep Asset management 2003-09-01
4 RBS Asia Securities (Hong Kong) Limited Rep Advising on corporate finance 2003-09-01
5 RBS Asia Securities (Hong Kong) Limited Rep Advising on securities 2003-09-01
6 RBS Asia Securities (Hong Kong) Limited Rep Asset management 2003-09-01
7 RBS Asia Securities (Hong Kong) Limited Rep Dealing in securities 2005-02-04
8 Credit Agricole Securities (Asia) Limited Rep Dealing in securities 2008-09-01
9 RBS Asia Futures Limited Rep Dealing in futures contracts 2003-09-04 2008-09-01
10 ICAP Equities Asia Limited RO Advising on securities 2008-12-22 2010-04-30
11 ICAP Equities Asia Limited RO Dealing in securities 2008-12-22 2010-04-30
12 AllianceBernstein Hong Kong Limited Rep Advising on securities 2010-06-21 2010-09-07
13 AllianceBernstein Hong Kong Limited Rep Dealing in securities 2010-06-21 2010-09-07
14 AllianceBernstein Hong Kong Limited RO Advising on securities 2010-09-07 2011-10-24
15 AllianceBernstein Hong Kong Limited RO Dealing in securities 2010-09-07 2011-10-24
16 Sanford C. Bernstein (Hong Kong) Limited RO Advising on securities 2011-09-28 2024-04-09
17 Sanford C. Bernstein (Hong Kong) Limited RO Dealing in securities 2011-09-28 2024-04-09

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