Francis Nicolo Punzalan Ruffy
This page summarises the Hong Kong Securities and Futures Commission (SFC) public register record for Francis Nicolo Punzalan Ruffy, a licensed Representative with CE reference AQM397. Currently licensed at 1 firm(s): CLSA Limited. Active regulated activities: Type 1 - Dealing in securities. Total licence records on file: 4.
Licence history
| Firm | Role | Regulated activity | From | To |
|---|---|---|---|---|
| CLSA Limited 中信里昂證券有限公司 |
Rep | Type 1 - Dealing in securities | 2025-08-28 | present |
| Samsung Securities (Asia) Limited 三星證券(亞洲)有限公司 |
Rep | Type 1 - Dealing in securities | 2011-01-24 | 2012-02-03 |
| Deutsche Securities Asia Limited 德意志證券亞洲有限公司 |
Rep | Type 1 - Dealing in securities | 2008-02-11 | 2010-12-17 |
| Deutsche Securities Asia Limited 德意志證券亞洲有限公司 |
Rep | Type 2 - Dealing in futures contracts | 2008-02-11 | 2010-12-17 |