To, William Chak Yan 陶澤恩
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 | Dealing in securities | 2010-07-19 | 2012-06-13 |
| 2 | Guosen Securities (HK) Brokerage Company, Limited | Rep | Dealing in securities | 2013-04-11 | 2014-09-23 | Rep | Advising on securities | 2013-09-19 | 2014-09-23 |
| 3 | Jefferies Hong Kong Limited | Rep | Dealing in securities | 2014-10-28 | Rep | Advising on securities | 2023-10-13 |
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