Kim Thi Nguyen
This page summarises the Hong Kong Securities and Futures Commission (SFC) public register record for Kim Thi Nguyen, a licensed former licensee with CE reference ANA971. This person has 4.7 years of SFC licence history. Total licence records on file: 4.
Information
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Licence history
| Firm | Role | Regulated activity | From | To |
|---|---|---|---|---|
| CITIC CLSA Capital Partners HK Limited 中信證券國際資本(香港)有限公司 |
Rep | Type 6 - Advising on corporate finance | 2008-05-14 | 2010-10-27 |
| CITIC CLSA Capital Partners HK Limited 中信證券國際資本(香港)有限公司 |
Rep | Type 4 - Advising on securities | 2006-09-28 | 2010-10-27 |
| CITIC CLSA Capital Partners HK Limited 中信證券國際資本(香港)有限公司 |
Rep | Type 9 - Asset management | 2006-09-28 | 2010-10-27 |
| CLSA Limited 中信里昂證券有限公司 |
Rep | Type 1 - Dealing in securities | 2006-02-20 | 2008-05-28 |
Worked alongside
The 20 closest colleagues, strongest tie first — individuals licensed at the same firm as Kim Thi Nguyen during overlapping periods. Ranked by how long they overlapped and how similar their regulated activities were, with shared time at a smaller firm weighted more than at a large one. See the detailed formula.