Federico Bazzoni
This page summarises the Hong Kong Securities and Futures Commission (SFC) public register record for Federico Bazzoni ( ), a licensed former licensee with CE reference ADP682. Total licence records on file: 15.
Licence history
| Firm | Role | Regulated activity | From | To |
|---|---|---|---|---|
| Vantage Capital Markets HK Limited | RO | Type 1 — Dealing in securities | 2023-02-17 | 2025-06-15 |
| Vantage Capital Markets HK Limited | RO | Type 4 — Advising on securities | 2022-09-06 | 2025-03-25 |
| Vantage Capital Markets HK Limited | RO | Type 6 — Advising on corporate finance | 2022-09-06 | 2025-03-25 |
| CLSA Limited 中信里昂證券有限公司 |
Rep | Type 1 — Dealing in securities | 2015-04-23 | 2022-08-25 |
| CITIC Securities (Hong Kong) Limited 中信證券(香港)有限公司 |
Rep | Type 4 — Advising on securities | 2015-04-23 | 2022-08-25 |
| CITIC Securities (Hong Kong) Limited 中信證券(香港)有限公司 |
Rep | Type 6 — Advising on corporate finance | 2015-04-23 | 2022-08-25 |
| CITIC Securities Corporate Finance (HK) Limited 中信証券融資(香港)有限公司 |
Rep | Type 1 — Dealing in securities | 2013-05-08 | 2016-01-01 |
| CITIC Securities Corporate Finance (HK) Limited 中信証券融資(香港)有限公司 |
Rep | Type 4 — Advising on securities | 2013-05-08 | 2016-01-01 |
| CITIC Securities Corporate Finance (HK) Limited 中信証券融資(香港)有限公司 |
Rep | Type 6 — Advising on corporate finance | 2013-05-08 | 2016-01-01 |
| CITIC Securities Brokerage (HK) Limited 中信証券經紀(香港)有限公司 |
RO | Type 1 — Dealing in securities | 2012-01-11 | 2013-05-01 |
| CITIC Securities Brokerage (HK) Limited 中信証券經紀(香港)有限公司 |
Rep | Type 1 — Dealing in securities | 2009-01-08 | 2012-01-11 |
| BNP Paribas Securities (Asia) Limited 法國巴黎證券(亞洲)有限公司 |
Rep | Type 1 — Dealing in securities | present | 2007-04-20 |
| BNP Paribas Securities (Asia) Limited 法國巴黎證券(亞洲)有限公司 |
Rep | Type 4 — Advising on securities | present | 2004-02-04 |
| BNP Paribas Securities (Asia) Limited 法國巴黎證券(亞洲)有限公司 |
Rep | Type 6 — Advising on corporate finance | present | 2004-02-04 |
| BNP Paribas Securities (Asia) Limited 法國巴黎證券(亞洲)有限公司 |
Rep | Type 9 — Asset management | present | 2004-02-04 |