Griffiths, Richard Alan
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 | 2015-09-04 | 2022-01-27 | RO | Advising on corporate finance | 2022-01-27 |
| 2 | HOULIHAN LOKEY (EUROPE) LIMITED | RO | Advising on corporate finance | 2007-08-10 | 2008-08-14 | RO | Dealing in securities | 2007-08-10 | 2008-08-14 |
| 3 | MACQUARIE CAPITAL LIMITED | Rep | Advising on corporate finance | 2010-02-17 | 2010-07-16 | Rep | Dealing in securities | 2010-02-17 | 2010-07-16 | RO | Advising on corporate finance | 2010-07-16 | 2015-03-31 | RO | Dealing in securities | 2010-07-16 | 2015-03-31 |
| 4 | Macquarie Corporate (Hong Kong) Limited | Rep | Advising on corporate finance | 2010-02-17 | 2010-07-16 | RO | Advising on corporate finance | 2010-07-16 | 2015-03-31 |
| 5 | RBS Asia Corporate Finance Limited | Rep | Advising on securities | 2005-01-24 | Rep | Asset management | 2005-01-24 | Rep | Advising on corporate finance | 2005-12-29 | Rep | Dealing in securities | 2005-12-29 | RO | Advising on corporate finance | 2005-12-29 | 2006-06-28 | RO | Dealing in securities | 2005-12-29 | 2007-05-12 | Rep | Advising on corporate finance | 2006-06-28 | 2006-08-16 | RO | Advising on corporate finance | 2006-08-16 | 2007-05-12 | Rep | Advising on corporate finance | 2008-09-29 | 2008-12-09 | Rep | Dealing in securities | 2008-09-29 | 2008-12-09 | RO | Advising on corporate finance | 2008-12-09 | 2010-02-10 | RO | Dealing in securities | 2008-12-09 | 2010-02-10 |
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