Mansfield, David Thomas
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 Agricole Securities (Asia) Limited | Rep | Dealing in securities | 2006-06-01 | 2008-06-16 |
| 2 | Credit Suisse (Hong Kong) Limited | Rep | Dealing in securities | 2008-06-24 | 2011-06-16 | Rep | Automated trading services | 2008-11-06 | 2011-06-16 | Rep | Dealing in futures contracts | 2008-11-06 | 2011-06-16 |
| 3 | Credit Suisse Futures (Hong Kong) Limited | Rep | Automated trading services | 2008-07-24 | 2008-11-24 | Rep | Dealing in futures contracts | 2008-07-24 | 2008-11-24 |
| 4 | Credit Suisse Securities (Hong Kong) Limited | Rep | Dealing in securities | 2011-04-12 | 2011-06-16 |
| 5 | Finex Hong Kong Limited | RO | Dealing in securities | 2020-10-20 | 2022-07-20 |
| 6 | GOLDMAN SACHS (ASIA) L.L.C. | Rep | Dealing in securities | 2005-03-03 | 2006-01-17 |
| 7 | GOLDMAN SACHS FUTURES (ASIA) LIMITED | Rep | Dealing in futures contracts | 2005-03-03 | 2006-01-17 |
| 8 | J.P. MORGAN BROKING (HONG KONG) LIMITED | Rep | Advising on securities | 2012-01-16 | 2016-10-17 | Rep | Dealing in securities | 2012-01-16 | 2016-10-17 | Rep | Advising on futures contracts | 2012-01-16 | 2017-10-09 | Rep | Dealing in futures contracts | 2012-01-16 | 2017-10-09 | RO | Advising on futures contracts | 2017-10-09 | 2018-06-08 | RO | Dealing in futures contracts | 2017-10-09 | 2018-06-08 |
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