Richard Gerardus Gould III

CE No. BOC417 Ceased

This page summarises the Hong Kong Securities and Futures Commission (SFC) public register record for Richard Gerardus Gould III (), a licensed former licensee with CE reference BOC417. Total licence records on file: 7.

Licence history

FirmRoleRegulated activityFromTo
CLSA Limited
中信里昂證券有限公司
RO Type 1 — Dealing in securities 2019-12-27 2020-07-31
CLSA Limited
中信里昂證券有限公司
RO Type 4 — Advising on securities 2019-12-27 2020-07-31
CLSA Limited
中信里昂證券有限公司
RO Type 7 — Providing automated trading services 2019-12-27 2020-07-31
CLSA Limited
中信里昂證券有限公司
Rep Type 1 — Dealing in securities 2019-07-25 2019-12-27
CLSA Limited
中信里昂證券有限公司
Rep Type 4 — Advising on securities 2019-07-25 2019-12-27
CLSA Limited
中信里昂證券有限公司
Rep Type 7 — Providing automated trading services 2019-07-25 2019-12-27
CLSA Limited
中信里昂證券有限公司
Rep Type 1 — Dealing in securities 2019-02-11 2019-02-17

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