Ko, Raymond 高力文
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 | 2010-10-04 | 2011-10-24 | Rep | Dealing in securities | 2010-10-04 | 2011-10-24 |
| 2 | CLSA FUTURES LIMITED | Rep | Dealing in futures contracts | 2008-10-08 | 2009-09-18 |
| 3 | CLSA LIMITED | Rep | Advising on corporate finance | 2004-03-16 | Rep | Advising on securities | 2004-03-16 | Rep | Asset management | 2004-03-16 | Rep | Dealing in securities | 2009-09-18 |
| 4 | Execution Noble (Hong Kong) Limited | Rep | Dealing in securities | 2010-01-18 | 2010-08-27 |
| 5 | Sanford C. Bernstein (Hong Kong) Limited | Rep | Advising on securities | 2011-10-24 | 2012-12-11 | Rep | Dealing in securities | 2011-10-24 | 2012-12-11 |
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