Nicolas Guy Gabriel Baratte
This page summarises the Hong Kong Securities and Futures Commission (SFC) public register record for Nicolas Guy Gabriel Baratte ( ), a licensed former licensee with CE reference AWN751. Total licence records on file: 5.
Licence history
| Firm | Role | Regulated activity | From | To |
|---|---|---|---|---|
| Macquarie Capital Limited 麥格理資本股份有限公司 |
Rep | Type 4 — Advising on securities | 2019-08-26 | 2024-03-14 |
| CLSA Limited 中信里昂證券有限公司 |
Rep | Type 4 — Advising on securities | 2012-12-24 | 2019-08-21 |
| CLSA Research Limited 里昂證券投資研究有限公司 |
Rep | Type 4 — Advising on securities | 2011-08-11 | 2012-12-24 |
| Eastspring Investments (Hong Kong) Limited 瀚亞投資(香港)有限公司(以(瀚亞投資)名義經營業務) |
Rep | Type 1 — Dealing in securities | 2011-01-03 | 2011-07-07 |
| Eastspring Investments (Hong Kong) Limited 瀚亞投資(香港)有限公司(以(瀚亞投資)名義經營業務) |
Rep | Type 4 — Advising on securities | 2011-01-03 | 2011-07-07 |