Andrew Charles Rothman
This page summarises the Hong Kong Securities and Futures Commission (SFC) public register record for Andrew Charles Rothman ( ), a licensed former licensee with CE reference AFW955. Total licence records on file: 3.
Licence history
| Firm | Role | Regulated activity | From | To |
|---|---|---|---|---|
| CLSA Limited 中信里昂證券有限公司 |
Rep | Type 4 - Advising on securities | present | 2014-03-01 |
| 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 |