Bazzoni, Federico
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 | BNP PARIBAS SECURITIES (ASIA) LIMITED | Rep | Advising on corporate finance | 2004-02-04 | |
| 2 | BNP PARIBAS SECURITIES (ASIA) LIMITED | Rep | Advising on securities | 2004-02-04 | |
| 3 | BNP PARIBAS SECURITIES (ASIA) LIMITED | Rep | Asset management | 2004-02-04 | |
| 4 | BNP PARIBAS SECURITIES (ASIA) LIMITED | Rep | Dealing in securities | 2007-04-20 | |
| 5 | CITIC Securities Brokerage (HK) Limited | Rep | Dealing in securities | 2009-01-08 | 2012-01-11 |
| 6 | CITIC Securities Brokerage (HK) Limited | RO | Dealing in securities | 2012-01-11 | 2013-05-01 |
| 7 | CSI Corporate Finance (HK) Limited | Rep | Advising on corporate finance | 2013-05-08 | 2016-01-01 |
| 8 | CSI Corporate Finance (HK) Limited | Rep | Advising on securities | 2013-05-08 | 2016-01-01 |
| 9 | CSI Corporate Finance (HK) Limited | Rep | Dealing in securities | 2013-05-08 | 2016-01-01 |
| 10 | CITIC Securities (Hong Kong) Limited | Rep | Advising on corporate finance | 2015-04-23 | 2022-08-25 |
| 11 | CITIC Securities (Hong Kong) Limited | Rep | Advising on securities | 2015-04-23 | 2022-08-25 |
| 12 | CLSA LIMITED | Rep | Dealing in securities | 2015-04-23 | 2022-08-25 |
| 13 | Vantage Capital Markets HK Limited | RO | Advising on corporate finance | 2022-09-06 | |
| 14 | Vantage Capital Markets HK Limited | RO | Advising on securities | 2022-09-06 | |
| 15 | Vantage Capital Markets HK Limited | RO | Dealing in securities | 2023-02-17 |
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