Raymond Ko
高力文
This page summarises the Hong Kong Securities and Futures Commission (SFC) public register record for Raymond Ko (高力文), a licensed former licensee with CE reference AIL123. Total licence records on file: 10.
Licence history
| Firm | Role | Regulated activity | From | To |
|---|---|---|---|---|
| Sanford C. Bernstein (Hong Kong) Limited 盛博香港有限公司 |
Rep | Type 1 — Dealing in securities | 2011-10-24 | 2012-12-11 |
| Sanford C. Bernstein (Hong Kong) Limited 盛博香港有限公司 |
Rep | Type 4 — Advising on securities | 2011-10-24 | 2012-12-11 |
| AllianceBernstein Hong Kong Limited 聯博香港有限公司 |
Rep | Type 1 — Dealing in securities | 2010-10-04 | 2011-10-24 |
| AllianceBernstein Hong Kong Limited 聯博香港有限公司 |
Rep | Type 4 — Advising on securities | 2010-10-04 | 2011-10-24 |
| Execution Noble (Hong Kong) Limited | Rep | Type 1 — Dealing in securities | 2010-01-18 | 2010-08-27 |
| CLSA Futures Limited 里昂期貨有限公司 |
Rep | Type 2 — Dealing in futures contracts | 2008-10-08 | 2009-09-18 |
| CLSA Limited 中信里昂證券有限公司 |
Rep | Type 1 — Dealing in securities | present | 2009-09-18 |
| CLSA Limited 中信里昂證券有限公司 |
Rep | Type 4 — Advising on securities | present | 2004-03-16 |
| CLSA Limited 中信里昂證券有限公司 |
Rep | Type 6 — Advising on corporate finance | present | 2004-03-16 |
| CLSA Limited 中信里昂證券有限公司 |
Rep | Type 9 — Asset management | present | 2004-03-16 |