David Thomas Mansfield
This page summarises the Hong Kong Securities and Futures Commission (SFC) public register record for David Thomas Mansfield ( ), a licensed former licensee with CE reference ALT907. Total licence records on file: 16.
Licence history
| Firm | Role | Regulated activity | From | To |
|---|---|---|---|---|
| Finex Hong Kong Limited | RO | Type 1 — Dealing in securities | 2020-10-20 | 2022-07-20 |
| J.P. Morgan Broking (Hong Kong) Limited | RO | Type 2 — Dealing in futures contracts | 2017-10-09 | 2018-06-08 |
| J.P. Morgan Broking (Hong Kong) Limited | RO | Type 5 — Advising on futures contracts | 2017-10-09 | 2018-06-08 |
| J.P. Morgan Broking (Hong Kong) Limited | Rep | Type 1 — Dealing in securities | 2012-01-16 | 2016-10-17 |
| J.P. Morgan Broking (Hong Kong) Limited | Rep | Type 2 — Dealing in futures contracts | 2012-01-16 | 2017-10-09 |
| J.P. Morgan Broking (Hong Kong) Limited | Rep | Type 4 — Advising on securities | 2012-01-16 | 2016-10-17 |
| J.P. Morgan Broking (Hong Kong) Limited | Rep | Type 5 — Advising on futures contracts | 2012-01-16 | 2017-10-09 |
| Credit Suisse Securities (Hong Kong) Limited 瑞士信貸證券(香港)有限公司 |
Rep | Type 1 — Dealing in securities | 2011-04-12 | 2011-06-16 |
| Credit Suisse (Hong Kong) Limited 瑞士信貸(香港)有限公司 |
Rep | Type 2 — Dealing in futures contracts | 2008-11-06 | 2011-06-16 |
| Credit Suisse (Hong Kong) Limited 瑞士信貸(香港)有限公司 |
Rep | Type 7 — Providing automated trading services | 2008-11-06 | 2011-06-16 |
| Credit Suisse Futures (Hong Kong) Limited | Rep | Type 2 — Dealing in futures contracts | 2008-07-24 | 2008-11-24 |
| Credit Suisse Futures (Hong Kong) Limited | Rep | Type 7 — Providing automated trading services | 2008-07-24 | 2008-11-24 |
| Credit Suisse (Hong Kong) Limited 瑞士信貸(香港)有限公司 |
Rep | Type 1 — Dealing in securities | 2008-06-24 | 2011-06-16 |
| Credit Agricole Securities (Asia) Limited 東方匯理證券(亞洲)有限公司 |
Rep | Type 1 — Dealing in securities | 2006-06-01 | 2008-06-16 |
| Goldman Sachs (Asia) L.L.C. 高盛(亞洲)有限責任公司 |
Rep | Type 1 — Dealing in securities | 2005-03-03 | 2006-01-17 |
| Goldman Sachs Futures (Asia) Limited 高盛期貨(亞洲)有限公司 |
Rep | Type 2 — Dealing in futures contracts | 2005-03-03 | 2006-01-17 |