Mark Stephen Yetman
This page summarises the Hong Kong Securities and Futures Commission (SFC) public register record for Mark Stephen Yetman ( ), a licensed former licensee with CE reference ACT009. Total licence records on file: 8.
Licence history
| Firm | Role | Regulated activity | From | To |
|---|---|---|---|---|
| Aletheia Technologies Limited | Rep | Type 4 — Advising on securities | 2014-03-21 | 2015-04-13 |
| BTIG Hong Kong Limited |
Rep | Type 1 — Dealing in securities | 2011-01-12 | 2014-01-29 |
| CLSA Limited 中信里昂證券有限公司 |
Rep | Type 1 — Dealing in securities | 2008-09-18 | 2008-11-24 |
| HSBC Securities (Asia) Limited | Rep | Type 1 — Dealing in securities | 2005-01-03 | 2005-11-14 |
| Credit Agricole Securities (Asia) Limited 東方匯理證券(亞洲)有限公司 |
Rep | Type 1 — Dealing in securities | present | 2003-05-20 |
| Credit Agricole Securities (Asia) Limited 東方匯理證券(亞洲)有限公司 |
Rep | Type 4 — Advising on securities | present | 2003-05-20 |
| Credit Agricole Securities (Asia) Limited 東方匯理證券(亞洲)有限公司 |
Rep | Type 6 — Advising on corporate finance | present | 2003-05-20 |
| Credit Agricole Securities (Asia) Limited 東方匯理證券(亞洲)有限公司 |
Rep | Type 9 — Asset management | present | 2003-05-20 |