Sean James Ripley
This page summarises the Hong Kong Securities and Futures Commission (SFC) public register record for Sean James Ripley ( ), a licensed former licensee with CE reference AFK667. Total licence records on file: 11.
Licence history
| Firm | Role | Regulated activity | From | To |
|---|---|---|---|---|
| LIM Advisors Limited | Rep | Type 9 — Asset management | 2010-06-01 | 2011-10-04 |
| Credit Suisse (Hong Kong) Limited 瑞士信貸(香港)有限公司 |
Rep | Type 1 — Dealing in securities | 2005-04-14 | 2008-08-01 |
| Credit Suisse Securities (Hong Kong) Limited 瑞士信貸證券(香港)有限公司 |
Rep | Type 1 — Dealing in securities | present | 2008-08-01 |
| Credit Suisse Futures (Hong Kong) Limited | Rep | Type 2 — Dealing in futures contracts | present | 2008-08-01 |
| Credit Suisse Securities (Hong Kong) Limited 瑞士信貸證券(香港)有限公司 |
Rep | Type 4 — Advising on securities | present | 2005-02-15 |
| Credit Suisse Futures (Hong Kong) Limited | Rep | Type 5 — Advising on futures contracts | present | 2005-02-15 |
| Credit Suisse Securities (Hong Kong) Limited 瑞士信貸證券(香港)有限公司 |
Rep | Type 6 — Advising on corporate finance | present | 2005-02-15 |
| Credit Suisse Futures (Hong Kong) Limited | Rep | Type 7 — Providing automated trading services | present | 2008-08-01 |
| Credit Suisse Securities (Hong Kong) Limited 瑞士信貸證券(香港)有限公司 |
Rep | Type 7 — Providing automated trading services | present | 2003-08-22 |
| Credit Suisse Futures (Hong Kong) Limited | Rep | Type 9 — Asset management | present | 2005-02-15 |
| Credit Suisse Securities (Hong Kong) Limited 瑞士信貸證券(香港)有限公司 |
Rep | Type 9 — Asset management | present | 2005-02-15 |