Andrew Eric Hartley
This page summarises the Hong Kong Securities and Futures Commission (SFC) public register record for Andrew Eric Hartley, a licensed former licensee with CE reference BOH914. This person has 0.8 years of SFC licence history. Total licence records on file: 6.
Information
- LinkedIn:
- Email:
Licence history
| Firm | Role | Regulated activity | From | To |
|---|---|---|---|---|
| CLSA Limited 中信里昂證券有限公司 |
RO | Type 1 - Dealing in securities | 2019-10-22 | 2020-03-02 |
| CLSA Limited 中信里昂證券有限公司 |
RO | Type 4 - Advising on securities | 2019-10-22 | 2020-03-02 |
| CLSA Limited 中信里昂證券有限公司 |
RO | Type 7 - Providing automated trading services | 2019-10-22 | 2020-03-02 |
| CLSA Limited 中信里昂證券有限公司 |
Rep | Type 1 - Dealing in securities | 2019-06-03 | 2019-10-22 |
| CLSA Limited 中信里昂證券有限公司 |
Rep | Type 4 - Advising on securities | 2019-06-03 | 2019-10-22 |
| CLSA Limited 中信里昂證券有限公司 |
Rep | Type 7 - Providing automated trading services | 2019-06-03 | 2019-10-22 |