David Lyall Work
This page summarises the Hong Kong Securities and Futures Commission (SFC) public register record for David Lyall Work ( ), a licensed former licensee with CE reference AFD445. Total licence records on file: 6.
Licence history
| Firm | Role | Regulated activity | From | To |
|---|---|---|---|---|
| Cantor Fitzgerald (Hong Kong) Capital Markets Limited 建達(香港)資本市場有限公司 |
RO | Type 1 — Dealing in securities | 2004-07-15 | 2008-07-23 |
| Cantor Fitzgerald (Hong Kong) Capital Markets Limited 建達(香港)資本市場有限公司 |
RO | Type 2 — Dealing in futures contracts | 2004-07-15 | 2008-07-23 |
| BGC Securities (Hong Kong) LLC |
RO | Type 1 — Dealing in securities | present | 2009-11-30 |
| BGC Securities (Hong Kong) LLC |
RO | Type 4 — Advising on securities | present | 2004-06-25 |
| BGC Securities (Hong Kong) LLC |
RO | Type 6 — Advising on corporate finance | present | 2004-06-25 |
| BGC Securities (Hong Kong) LLC |
RO | Type 9 — Asset management | present | 2004-06-25 |