Kathleen Ann Emerson
This page summarises the Hong Kong Securities and Futures Commission (SFC) public register record for Kathleen Ann Emerson, a licensed Representative with CE reference AEH820. Currently licensed at 1 firm(s): Jefferies Hong Kong Limited. Active regulated activities: Type 1 — Dealing in securities. Total licence records on file: 7.
Licence history
| Firm | Role | Regulated activity | From | To |
|---|---|---|---|---|
| Jefferies Hong Kong Limited 富瑞金融集團香港有限公司 |
Rep | Type 1 — Dealing in securities | 2016-02-01 | present |
| HSBC Securities Brokers (Asia) Limited 滙豐證券經紀(亞洲)有限公司 |
Rep | Type 1 — Dealing in securities | 2009-09-21 | 2013-05-31 |
| SG Securities (HK) Limited 法國興業證券(香港)有限公司 |
Rep | Type 1 — Dealing in securities | 2006-06-01 | 2008-10-28 |
| SG Securities (HK) Limited 法國興業證券(香港)有限公司 |
Rep | Type 2 — Dealing in futures contracts | 2006-06-01 | 2008-10-28 |
| SG Securities (HK) Limited 法國興業證券(香港)有限公司 |
Rep | Type 7 — Providing automated trading services | 2006-06-01 | 2008-10-28 |
| MIB Securities (Hong Kong) Limited 馬銀證券(香港)有限公司 |
Rep | Type 1 — Dealing in securities | 2004-01-27 | 2006-05-02 |
| MIB Futures (Hong Kong) Limited 馬銀期貨(香港)有限公司 |
Rep | Type 2 — Dealing in futures contracts | 2004-01-27 | 2006-05-02 |