David Frederick Cross
This page summarises the Hong Kong Securities and Futures Commission (SFC) public register record for David Frederick Cross ( ), a licensed former licensee with CE reference AAB227. Total licence records on file: 8.
Licence history
| Firm | Role | Regulated activity | From | To |
|---|---|---|---|---|
| Credit Agricole Securities (Asia) Limited 東方匯理證券(亞洲)有限公司 |
RO | Type 1 — Dealing in securities | present | 2010-07-01 |
| RBS Asia Securities (Hong Kong) Limited 蘇皇證券亞洲(香港)有限公司 |
RO | Type 1 — Dealing in securities | present | 2005-02-08 |
| Credit Agricole Securities (Asia) Limited 東方匯理證券(亞洲)有限公司 |
RO | Type 4 — Advising on securities | present | 2004-09-28 |
| RBS Asia Securities (Hong Kong) Limited 蘇皇證券亞洲(香港)有限公司 |
RO | Type 4 — Advising on securities | present | 2004-09-28 |
| RBS Asia Securities (Hong Kong) Limited 蘇皇證券亞洲(香港)有限公司 |
RO | Type 6 — Advising on corporate finance | present | 2004-09-28 |
| Credit Agricole Securities (Asia) Limited 東方匯理證券(亞洲)有限公司 |
RO | Type 6 — Advising on corporate finance | present | 2004-09-24 |
| RBS Asia Securities (Hong Kong) Limited 蘇皇證券亞洲(香港)有限公司 |
RO | Type 9 — Asset management | present | 2004-09-28 |
| Credit Agricole Securities (Asia) Limited 東方匯理證券(亞洲)有限公司 |
RO | Type 9 — Asset management | present | 2004-09-24 |