Lei (SFC:BGB371) Cao
曹蕾
This page summarises the Hong Kong Securities and Futures Commission (SFC) public register record for Lei (SFC:BGB371) Cao (曹蕾), a licensed former licensee with CE reference BGB371. Total licence records on file: 10.
Licence history
| Firm | Role | Regulated activity | From | To |
|---|---|---|---|---|
| BlackRock Asset Management North Asia Limited 貝萊德資產管理北亞有限公司 |
Rep | Type 1 - Dealing in securities | 2017-10-23 | 2024-06-01 |
| BlackRock Asset Management North Asia Limited 貝萊德資產管理北亞有限公司 |
Rep | Type 4 - Advising on securities | 2017-10-23 | 2024-06-01 |
| BlackRock Asset Management North Asia Limited 貝萊德資產管理北亞有限公司 |
Rep | Type 9 - Asset management | 2017-10-23 | 2024-06-01 |
| CLSA Limited 中信里昂證券有限公司 |
Rep | Type 1 - Dealing in securities | 2017-07-28 | 2017-09-12 |
| CITIC Securities (Hong Kong) Limited 中信證券(香港)有限公司 |
Rep | Type 4 - Advising on securities | 2017-07-28 | 2017-09-12 |
| CLSA Limited 中信里昂證券有限公司 |
Rep | Type 4 - Advising on securities | 2017-07-28 | 2017-09-12 |
| CITIC Securities (Hong Kong) Limited 中信證券(香港)有限公司 |
Rep | Type 6 - Advising on corporate finance | 2017-07-28 | 2017-09-12 |
| Nomura International (Hong Kong) Limited 野村國際(香港)有限公司 |
Rep | Type 1 - Dealing in securities | 2015-08-31 | 2017-06-12 |
| Nomura International (Hong Kong) Limited 野村國際(香港)有限公司 |
Rep | Type 4 - Advising on securities | 2015-08-31 | 2017-06-12 |
| Nomura International (Hong Kong) Limited 野村國際(香港)有限公司 |
Rep | Type 6 - Advising on corporate finance | 2015-08-31 | 2017-06-12 |