David Archibald Douglas
This page summarises the Hong Kong Securities and Futures Commission (SFC) public register record for David Archibald Douglas ( ), a licensed former licensee with CE reference AMF013. Total licence records on file: 13.
Licence history
| Firm | Role | Regulated activity | From | To |
|---|---|---|---|---|
| MCM Asia Limited (以曼睿資本名義經營業務) |
Rep | Type 1 — Dealing in securities | 2015-02-24 | 2016-01-21 |
| Standard Chartered Securities (Hong Kong) Limited 渣打證券(香港)有限公司 |
RO | Type 1 — Dealing in securities | 2009-08-07 | 2013-02-01 |
| Standard Chartered Securities (Hong Kong) Limited 渣打證券(香港)有限公司 |
RO | Type 4 — Advising on securities | 2009-08-07 | 2013-02-01 |
| Standard Chartered Securities (Hong Kong) Limited 渣打證券(香港)有限公司 |
RO | Type 6 — Advising on corporate finance | 2009-08-07 | 2013-02-01 |
| Standard Chartered Securities (Hong Kong) Limited 渣打證券(香港)有限公司 |
Rep | Type 1 — Dealing in securities | 2009-06-24 | 2009-08-07 |
| Standard Chartered Securities (Hong Kong) Limited 渣打證券(香港)有限公司 |
Rep | Type 4 — Advising on securities | 2009-06-24 | 2009-08-07 |
| Standard Chartered Securities (Hong Kong) Limited 渣打證券(香港)有限公司 |
Rep | Type 6 — Advising on corporate finance | 2009-06-24 | 2009-08-07 |
| Lehman Brothers Asia Limited 美國雷曼兄弟亞洲投資有限公司 |
RO | Type 1 — Dealing in securities | 2006-01-09 | 2008-08-06 |
| Lehman Brothers Securities Asia Limited 美國雷曼兄弟證券亞洲有限公司 |
RO | Type 1 — Dealing in securities | 2006-01-09 | 2008-08-06 |
| Lehman Brothers Asia Limited 美國雷曼兄弟亞洲投資有限公司 |
RO | Type 6 — Advising on corporate finance | 2006-01-09 | 2008-08-06 |
| Lehman Brothers Asia Limited 美國雷曼兄弟亞洲投資有限公司 |
Rep | Type 1 — Dealing in securities | 2005-07-06 | 2006-01-09 |
| Lehman Brothers Securities Asia Limited 美國雷曼兄弟證券亞洲有限公司 |
Rep | Type 1 — Dealing in securities | 2005-07-06 | 2006-01-09 |
| Lehman Brothers Asia Limited 美國雷曼兄弟亞洲投資有限公司 |
Rep | Type 6 — Advising on corporate finance | 2005-07-06 | 2006-01-09 |