Neil John Sheather
This page summarises the Hong Kong Securities and Futures Commission (SFC) public register record for Neil John Sheather ( ), a licensed former licensee with CE reference BEN516. Total licence records on file: 5.
Licence history
| Firm | Role | Regulated activity | From | To |
|---|---|---|---|---|
| Vantage New Generation Securities Limited 新世代證券有限公司 |
RO | Type 1 — Dealing in securities | 2016-06-13 | 2018-05-25 |
| Vantage New Generation Securities Limited 新世代證券有限公司 |
RO | Type 4 — Advising on securities | 2016-06-13 | 2018-05-25 |
| Leading Securities Company Limited 立鼎證券有限公司 |
RO | Type 1 — Dealing in securities | 2015-01-06 | 2016-01-15 |
| Leading Securities Company Limited 立鼎證券有限公司 |
RO | Type 4 — Advising on securities | 2015-01-06 | 2016-01-15 |
| Leading Securities Company Limited 立鼎證券有限公司 |
RO | Type 9 — Asset management | 2015-01-06 | 2016-01-15 |