Joseph Albert Lim Gotuaco
吳培基
This page summarises the Hong Kong Securities and Futures Commission (SFC) public register record for Joseph Albert Lim Gotuaco (吳培基), a licensed former licensee with CE reference AHT418. Total licence records on file: 7.
Licence history
| Firm | Role | Regulated activity | From | To |
|---|---|---|---|---|
| Merrill Lynch (Asia Pacific) Limited | Rep | Type 4 - Advising on securities | 2005-07-15 | 2008-04-26 |
| Merrill Lynch (Asia Pacific) Limited | Rep | Type 1 - Dealing in securities | 2005-03-24 | 2008-04-26 |
| 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 | 2005-03-15 |
| 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 | 2005-03-15 |
| 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 | 2005-03-15 |
| 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 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 |