Richard Neil Stone
This page summarises the Hong Kong Securities and Futures Commission (SFC) public register record for Richard Neil Stone ( ), a licensed former licensee with CE reference ACJ526. Total licence records on file: 6.
Licence history
| Firm | Role | Regulated activity | From | To |
|---|---|---|---|---|
| Standard Chartered Securities (Hong Kong) Limited 渣打證券(香港)有限公司 |
Rep | Type 1 - Dealing in securities | 2010-07-27 | 2015-01-08 |
| Standard Chartered Securities (Hong Kong) Limited 渣打證券(香港)有限公司 |
Rep | Type 4 - Advising on securities | 2010-07-27 | 2015-01-08 |
| CLSA Limited 中信里昂證券有限公司 |
Rep | Type 1 - Dealing in securities | present | 2005-03-29 |
| CLSA Limited 中信里昂證券有限公司 |
Rep | Type 4 - Advising on securities | present | 2004-03-18 |
| CLSA Limited 中信里昂證券有限公司 |
Rep | Type 6 - Advising on corporate finance | present | 2004-03-18 |
| CLSA Limited 中信里昂證券有限公司 |
Rep | Type 9 - Asset management | present | 2004-03-18 |