Jeffery, Paul Richard Carroll
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 Suisse (Hong Kong) Limited | Rep | Dealing in securities | 2005-01-05 | 2008-05-09 | Rep | Automated trading services | 2011-03-31 | 2012-07-04 | Rep | Dealing in futures contracts | 2011-03-31 | 2012-07-04 | Rep | Dealing in securities | 2011-03-31 | 2012-07-04 |
| 2 | Credit Suisse Futures (Hong Kong) Limited | Rep | Automated trading services | 2007-08-24 | 2008-05-09 | Rep | Dealing in futures contracts | 2007-08-24 | 2008-05-09 |
| 3 | Credit Suisse Securities (Hong Kong) Limited | Rep | Advising on corporate finance | 2003-07-30 | Rep | Advising on securities | 2003-07-30 | Rep | Asset management | 2003-07-30 | Rep | Automated trading services | 2003-08-22 | Rep | Dealing in securities | 2003-08-26 | RO | Dealing in securities | 2003-08-26 | 2006-12-21 | Rep | Dealing in securities | 2006-12-21 | 2008-05-09 | Rep | Dealing in securities | 2011-03-31 | 2012-07-04 |
| 4 | WARD FERRY MANAGEMENT LIMITED | Rep | Advising on futures contracts | 2008-07-04 | 2010-11-30 | Rep | Advising on securities | 2008-07-04 | 2010-11-30 | Rep | Asset management | 2008-07-04 | 2010-11-30 |
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