Banfield, Colin Dennis (SFC:ADW089)

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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 Aberdeen International Investment Management Limited RO Advising on securities 2006-04-25 2007-03-16
2 Citigroup Global Markets Asia Limited Rep Advising on corporate finance 2010-06-21 2011-12-02
Rep Dealing in securities 2010-06-21 2011-12-02
RO Advising on corporate finance 2011-12-02
RO Dealing in securities 2011-12-02
3 CITIGROUP GLOBAL MARKETS HONG KONG FUTURES AND SECURITIES LIMITED Rep Dealing in securities 2010-06-21 2012-01-31
4 Credit Suisse (Hong Kong) Limited RO Advising on corporate finance 2003-07-17 2007-07-16
RO Advising on securities 2003-07-17 2007-07-16
RO Dealing in securities 2005-12-02 2007-07-16
5 Credit Suisse Securities (Hong Kong) Limited RO Advising on corporate finance 2007-07-16
RO Advising on securities 2005-12-02 2007-07-16
6 LEHMAN BROTHERS ASIA LIMITED Rep Advising on corporate finance 2007-09-13 2007-10-16
Rep Advising on securities 2007-09-13 2007-10-16
RO Advising on corporate finance 2007-10-16 2008-09-29
RO Advising on securities 2007-10-16 2008-09-29
7 NOMURA INTERNATIONAL (HONG KONG) LIMITED Rep Advising on corporate finance 2008-10-10 2009-05-12
Rep Advising on securities 2008-10-10 2009-05-12
RO Advising on corporate finance 2009-05-12 2010-03-20
RO Advising on securities 2009-05-12 2010-03-20
RO Dealing in securities 2009-05-12 2010-03-20

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