Klip, Donald William
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 | ARISTO SECURITIES LIMITED | RO | Dealing in securities | 2015-10-28 | 2016-03-23 |
2 | BNP PARIBAS SECURITIES (ASIA) LIMITED | Rep | Dealing in securities | 2007-06-11 | 2008-03-07 |
3 | CCB INTERNATIONAL SECURITIES LIMITED | Rep | Advising on securities | 2010-06-22 | 2012-10-22 | Rep | Dealing in securities | 2010-06-22 | 2012-10-22 | RO | Advising on securities | 2012-10-22 | 2012-12-22 | RO | Dealing in securities | 2012-10-22 | 2012-12-22 |
4 | Citigroup Global Markets Asia Limited | Rep | Dealing in securities | 2005-07-11 | 2007-04-11 |
5 | CITIGROUP GLOBAL MARKETS HONG KONG FUTURES AND SECURITIES LIMITED | Rep | Dealing in securities | 2005-07-11 | 2007-04-11 |
6 | Crosby Securities Limited | Rep | Advising on securities | 2013-03-06 | 2013-04-05 | Rep | Dealing in securities | 2013-03-06 | 2013-04-05 | RO | Advising on securities | 2013-04-05 | 2015-06-30 | RO | Dealing in securities | 2013-04-05 | 2015-06-30 |
7 | MACQUARIE CAPITAL LIMITED | Rep | Advising on corporate finance | 2004-01-20 | Rep | Advising on securities | 2004-01-20 | Rep | Asset management | 2004-01-20 | Rep | Dealing in securities | 2005-05-25 |
8 | MF Securities Hong Kong Limited | Rep | Advising on securities | 2008-06-06 | 2010-04-12 | Rep | Dealing in securities | 2008-06-06 | 2010-04-12 |
9 | Ruibang Securities Limited | RO | Dealing in securities | 2017-02-06 | 2020-12-31 | RO | Advising on securities | 2018-11-19 | 2020-12-31 |
10 | SP Securities Limited | Rep | Advising on securities | 2016-04-08 | 2016-05-25 | Rep | Dealing in securities | 2016-04-08 | 2016-05-25 | RO | Advising on securities | 2016-05-25 | 2017-02-03 | RO | Dealing in securities | 2016-05-25 | 2017-02-03 |
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