John Gerard Nicholas D'Abo
This page summarises the Hong Kong Securities and Futures Commission (SFC) public register record for John Gerard Nicholas D'Abo ( ), a licensed former licensee with CE reference AFH717. Total licence records on file: 10.
Licence history
| Firm | Role | Regulated activity | From | To |
|---|---|---|---|---|
| RBC Capital Markets (Hong Kong) Limited 加皇資本市場(香港)有限公司 |
Rep | Type 1 — Dealing in securities | 2012-06-18 | 2012-11-01 |
| RBC Capital Markets (Hong Kong) Limited 加皇資本市場(香港)有限公司 |
Rep | Type 6 — Advising on corporate finance | 2012-06-18 | 2012-11-01 |
| RBS Asia Corporate Finance Limited 蘇皇融資亞洲有限公司 |
Rep | Type 1 — Dealing in securities | 2008-10-21 | 2012-04-12 |
| RBS Asia Corporate Finance Limited 蘇皇融資亞洲有限公司 |
Rep | Type 6 — Advising on corporate finance | 2008-10-21 | 2012-04-12 |
| Credit Suisse (Hong Kong) Limited 瑞士信貸(香港)有限公司 |
Rep | Type 1 — Dealing in securities | 2004-12-22 | 2007-11-09 |
| Credit Suisse (Hong Kong) Limited 瑞士信貸(香港)有限公司 |
Rep | Type 4 — Advising on securities | 2004-12-22 | 2007-11-09 |
| Credit Suisse (Hong Kong) Limited 瑞士信貸(香港)有限公司 |
Rep | Type 6 — Advising on corporate finance | 2004-12-13 | 2007-11-09 |
| CITIC Securities (Hong Kong) Limited 中信證券(香港)有限公司 |
Rep | Type 4 — Advising on securities | present | 2004-09-14 |
| CITIC Securities (Hong Kong) Limited 中信證券(香港)有限公司 |
Rep | Type 6 — Advising on corporate finance | present | 2004-12-06 |
| CITIC Securities (Hong Kong) Limited 中信證券(香港)有限公司 |
Rep | Type 9 — Asset management | present | 2004-09-14 |