Kao, Richard 高敬倫
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 | Advising on corporate finance | 2007-01-04 | 2007-03-09 | Rep | Advising on securities | 2007-01-04 | 2007-03-09 | Rep | Dealing in securities | 2007-01-04 | 2007-03-09 | Rep | Advising on corporate finance | 2015-11-06 | 2015-12-10 | Rep | Advising on securities | 2015-11-06 | 2015-12-10 | Rep | Dealing in securities | 2015-11-06 | 2015-12-10 | RO | Advising on corporate finance | 2015-12-10 | 2023-10-02 | RO | Advising on securities | 2015-12-10 | 2023-10-02 | RO | Dealing in securities | 2015-12-10 | 2023-10-02 |
| 2 | Credit Suisse Securities (Hong Kong) Limited | Rep | Asset management | 2005-01-03 | Rep | Advising on corporate finance | 2007-03-09 | Rep | Advising on securities | 2007-03-09 |
| 3 | GOLDMAN SACHS (ASIA) L.L.C. | Rep | Advising on corporate finance | 2007-05-04 | 2008-11-07 | Rep | Dealing in securities | 2007-05-04 | 2008-11-07 |
| 4 | Standard Chartered Securities (Hong Kong) Limited | Rep | Advising on corporate finance | 2009-06-26 | 2010-02-25 | Rep | Advising on securities | 2009-06-26 | 2010-02-25 | Rep | Dealing in securities | 2009-06-26 | 2010-02-25 | RO | Advising on corporate finance | 2010-02-25 | 2015-01-08 | RO | Advising on securities | 2010-02-25 | 2015-01-08 | RO | Dealing in securities | 2010-02-25 | 2015-01-08 |
| 5 | UBS SECURITIES HONG KONG LIMITED | Rep | Advising on corporate finance | 2023-10-12 | 2024-01-30 | RO | Advising on corporate finance | 2024-01-30 |
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