Daniel Gordon
This page summarises the Hong Kong Securities and Futures Commission (SFC) public register record for Daniel Gordon ( ), a licensed former licensee with CE reference AHE138. Total licence records on file: 17.
Licence history
| Firm | Role | Regulated activity | From | To |
|---|---|---|---|---|
| Sanford C. Bernstein (Hong Kong) Limited 盛博香港有限公司 |
RO | Type 1 — Dealing in securities | 2011-09-28 | 2024-04-09 |
| Sanford C. Bernstein (Hong Kong) Limited 盛博香港有限公司 |
RO | Type 4 — Advising on securities | 2011-09-28 | 2024-04-09 |
| AllianceBernstein Hong Kong Limited 聯博香港有限公司 |
RO | Type 1 — Dealing in securities | 2010-09-07 | 2011-10-24 |
| AllianceBernstein Hong Kong Limited 聯博香港有限公司 |
RO | Type 4 — Advising on securities | 2010-09-07 | 2011-10-24 |
| AllianceBernstein Hong Kong Limited 聯博香港有限公司 |
Rep | Type 1 — Dealing in securities | 2010-06-21 | 2010-09-07 |
| AllianceBernstein Hong Kong Limited 聯博香港有限公司 |
Rep | Type 4 — Advising on securities | 2010-06-21 | 2010-09-07 |
| ICAP Equities Asia Limited | RO | Type 1 — Dealing in securities | 2008-12-22 | 2010-04-30 |
| ICAP Equities Asia Limited | RO | Type 4 — Advising on securities | 2008-12-22 | 2010-04-30 |
| RBS Asia Futures Limited 蘇皇金融期貨亞洲有限公司 |
Rep | Type 2 — Dealing in futures contracts | 2003-09-04 | 2008-09-01 |
| Credit Agricole Securities (Asia) Limited 東方匯理證券(亞洲)有限公司 |
Rep | Type 1 — Dealing in securities | present | 2008-09-01 |
| RBS Asia Securities (Hong Kong) Limited 蘇皇證券亞洲(香港)有限公司 |
Rep | Type 1 — Dealing in securities | present | 2005-02-04 |
| Credit Agricole Securities (Asia) Limited 東方匯理證券(亞洲)有限公司 |
Rep | Type 4 — Advising on securities | present | 2003-09-01 |
| RBS Asia Securities (Hong Kong) Limited 蘇皇證券亞洲(香港)有限公司 |
Rep | Type 4 — Advising on securities | present | 2003-09-01 |
| Credit Agricole Securities (Asia) Limited 東方匯理證券(亞洲)有限公司 |
Rep | Type 6 — Advising on corporate finance | present | 2003-09-01 |
| RBS Asia Securities (Hong Kong) Limited 蘇皇證券亞洲(香港)有限公司 |
Rep | Type 6 — Advising on corporate finance | present | 2003-09-01 |
| Credit Agricole Securities (Asia) Limited 東方匯理證券(亞洲)有限公司 |
Rep | Type 9 — Asset management | present | 2003-09-01 |
| RBS Asia Securities (Hong Kong) Limited 蘇皇證券亞洲(香港)有限公司 |
Rep | Type 9 — Asset management | present | 2003-09-01 |