William John Stacey
史達思
This page summarises the Hong Kong Securities and Futures Commission (SFC) public register record for William John Stacey (史達思), CE reference AIK894. Total licence records on file: 10.
Licence history
| Firm | Role | Regulated activity | From | To |
|---|---|---|---|---|
| Keefe, Bruyette & Woods Asia Limited | RO | Type 1 — Dealing in securities | 2010-09-13 | 2012-11-14 |
| Keefe, Bruyette & Woods Asia Limited | RO | Type 4 — Advising on securities | 2010-06-10 | 2012-11-14 |
| Keefe, Bruyette & Woods Asia Limited | Rep | Type 1 — Dealing in securities | 2010-06-04 | 2010-09-13 |
| Keefe, Bruyette & Woods Asia Limited | Rep | Type 4 — Advising on securities | 2010-06-04 | 2010-06-10 |
| Religare Capital Markets (Hong Kong) Limited | RO | Type 4 — Advising on securities | 2009-09-22 | 2010-05-31 |
| Religare Capital Markets (Hong Kong) Limited | Rep | Type 1 — Dealing in securities | 2008-07-25 | 2010-05-31 |
| Credit Suisse (Hong Kong) Limited 瑞士信貸(香港)有限公司 |
Rep | Type 4 — Advising on securities | 2005-04-14 | 2008-01-24 |
| 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 | 2006-08-18 |
| 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 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 |