Christopher John Brooks
This page summarises the Hong Kong Securities and Futures Commission (SFC) public register record for Christopher John Brooks ( ), a licensed former licensee with CE reference AHF678. Total licence records on file: 6.
Licence history
| Firm | Role | Regulated activity | From | To |
|---|---|---|---|---|
| CITIC Securities (Hong Kong) Limited 中信證券(香港)有限公司 |
RO | Type 4 — Advising on securities | 2008-12-05 | 2009-08-14 |
| CITIC Securities (Hong Kong) Limited 中信證券(香港)有限公司 |
RO | Type 6 — Advising on corporate finance | 2008-12-05 | 2009-08-14 |
| CITIC Securities (Hong Kong) Limited 中信證券(香港)有限公司 |
Rep | Type 4 — Advising on securities | 2008-09-17 | 2008-12-05 |
| CITIC Securities (Hong Kong) Limited 中信證券(香港)有限公司 |
Rep | Type 6 — Advising on corporate finance | 2008-09-17 | 2008-12-05 |
| Rothschild & Co Hong Kong Limited 羅斯柴爾德恩可香港有限公司 |
RO | Type 4 — Advising on securities | 2005-04-27 | 2006-07-31 |
| Rothschild & Co Hong Kong Limited 羅斯柴爾德恩可香港有限公司 |
RO | Type 6 — Advising on corporate finance | 2005-04-27 | 2006-07-31 |