Thomas Damian Roche
This page summarises the Hong Kong Securities and Futures Commission (SFC) public register record for Thomas Damian Roche ( ), a licensed former licensee with CE reference ACU450. Total licence records on file: 9.
Licence history
| Firm | Role | Regulated activity | From | To |
|---|---|---|---|---|
| CLSA Limited 中信里昂證券有限公司 |
RO | Type 1 — Dealing in securities | 2003-07-25 | 2004-12-13 |
| CLSA Futures Limited 里昂期貨有限公司 |
RO | Type 2 — Dealing in futures contracts | 2003-07-25 | 2004-12-13 |
| CLSA Limited 中信里昂證券有限公司 |
Rep | Type 1 — Dealing in securities | present | 2003-07-25 |
| CLSA Futures Limited 里昂期貨有限公司 |
Rep | Type 2 — Dealing in futures contracts | present | 2003-07-25 |
| CLSA Limited 中信里昂證券有限公司 |
Rep | Type 4 — Advising on securities | present | 2003-06-10 |
| CLSA Futures Limited 里昂期貨有限公司 |
Rep | Type 5 — Advising on futures contracts | present | 2003-06-10 |
| CLSA Limited 中信里昂證券有限公司 |
Rep | Type 6 — Advising on corporate finance | present | 2003-06-10 |
| CLSA Futures Limited 里昂期貨有限公司 |
Rep | Type 9 — Asset management | present | 2003-06-10 |
| CLSA Limited 中信里昂證券有限公司 |
Rep | Type 9 — Asset management | present | 2003-06-10 |