Nguyen Thanh Nguyen
This page summarises the Hong Kong Securities and Futures Commission (SFC) public register record for Nguyen Thanh Nguyen, a licensed Representative with CE reference AOO555. Currently licensed at 1 firm(s): Liquidnet Asia Limited. Active regulated activities: Type 1 — Dealing in securities; Type 7 — Providing automated trading services. Total licence records on file: 8.
Licence history
| Firm | Role | Regulated activity | From | To |
|---|---|---|---|---|
| Liquidnet Asia Limited 利貫交易網亞洲有限公司 |
Rep | Type 1 — Dealing in securities | 2021-03-23 | present |
| Liquidnet Asia Limited 利貫交易網亞洲有限公司 |
Rep | Type 7 — Providing automated trading services | 2021-03-23 | present |
| BTIG Hong Kong Limited |
Rep | Type 1 — Dealing in securities | 2020-01-10 | 2021-01-22 |
| RHB Securities Hong Kong Limited 興業金融證券有限公司 |
Rep | Type 4 — Advising on securities | 2009-11-17 | 2020-01-05 |
| RHB Securities Hong Kong Limited 興業金融證券有限公司 |
Rep | Type 1 — Dealing in securities | 2009-09-30 | 2020-01-05 |
| RHB Futures Hong Kong Limited 興業金融期貨有限公司 |
Rep | Type 2 — Dealing in futures contracts | 2009-09-30 | 2020-01-05 |
| CLSA Futures Limited 里昂期貨有限公司 |
Rep | Type 2 — Dealing in futures contracts | 2007-11-20 | 2009-03-05 |
| CLSA Limited 中信里昂證券有限公司 |
Rep | Type 1 — Dealing in securities | 2007-02-21 | 2009-03-05 |