Samuel David Thawley
This page summarises the Hong Kong Securities and Futures Commission (SFC) public register record for Samuel David Thawley ( ), a licensed former licensee with CE reference ANA176. Total licence records on file: 4.
Licence history
| Firm | Role | Regulated activity | From | To |
|---|---|---|---|---|
| Haitong International Research Limited 海通國際研究有限公司 |
RO | Type 4 — Advising on securities | 2015-05-14 | 2018-06-22 |
| Haitong International Research Limited 海通國際研究有限公司 |
Rep | Type 4 — Advising on securities | 2015-04-27 | 2015-05-14 |
| Japaninvest (Hong Kong) Limited |
RO | Type 4 — Advising on securities | 2012-07-26 | 2017-01-27 |
| Macquarie Capital Limited 麥格理資本股份有限公司 |
Rep | Type 4 — Advising on securities | 2006-02-09 | 2006-04-09 |