Lin, Charles Xiaodong 林曉東
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 | CLSA LIMITED | Rep | Advising on securities | 2020-07-28 | 2022-09-30 | Rep | Dealing in securities | 2020-07-28 | 2022-09-30 |
2 | DWS Investments Hong Kong Limited | Rep | Advising on securities | 2008-04-09 | 2009-04-04 | Rep | Dealing in securities | 2008-04-09 | 2009-04-04 |
3 | GF Asset Management (Hong Kong) Limited | Rep | Advising on securities | 2023-02-08 | 2023-05-16 | Rep | Asset management | 2023-02-09 | 2023-05-16 | RO | Advising on securities | 2023-05-16 | RO | Asset management | 2023-05-16 |
4 | GF Capital (Hong Kong) Limited | Rep | Advising on corporate finance | 2023-02-09 | 2023-05-16 | RO | Advising on corporate finance | 2023-05-16 | 2024-03-16 |
5 | GF Securities (Hong Kong) Brokerage Limited | Rep | Advising on securities | 2023-02-08 | 2023-05-16 | Rep | Dealing in securities | 2023-02-08 | 2023-05-16 | RO | Advising on securities | 2023-05-16 | RO | Dealing in securities | 2023-05-16 |
6 | ITAU ASIA LIMITED | Rep | Dealing in securities | 2009-09-30 | 2011-09-10 |
7 | Vanguard Investments Hong Kong Limited | RO | Advising on securities | 2012-02-07 | 2019-12-30 | RO | Dealing in securities | 2012-02-07 | 2019-12-30 | RO | Advising on corporate finance | 2016-11-22 | 2019-07-12 | RO | Asset management | 2017-01-03 | 2019-12-30 |
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