Kim Thi Nguyen
This page summarises the Hong Kong Securities and Futures Commission (SFC) public register record for Kim Thi Nguyen ( ), a licensed former licensee with CE reference ANA971. Total licence records on file: 4.
Licence history
| Firm | Role | Regulated activity | From | To |
|---|---|---|---|---|
| CITIC CLSA Capital Partners HK Limited 中信證券國際資本(香港)有限公司 |
Rep | Type 6 — Advising on corporate finance | 2008-05-14 | 2010-10-27 |
| CITIC CLSA Capital Partners HK Limited 中信證券國際資本(香港)有限公司 |
Rep | Type 4 — Advising on securities | 2006-09-28 | 2010-10-27 |
| CITIC CLSA Capital Partners HK Limited 中信證券國際資本(香港)有限公司 |
Rep | Type 9 — Asset management | 2006-09-28 | 2010-10-27 |
| CLSA Limited 中信里昂證券有限公司 |
Rep | Type 1 — Dealing in securities | 2006-02-20 | 2008-05-28 |