Richard Gerardus Gould III
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
| Firm | Role | Regulated activity | From | To |
|---|---|---|---|---|
| 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 |