Andrew Eric Hartley
This page summarises the Hong Kong Securities and Futures Commission (SFC) public register record for Andrew Eric Hartley ( ), a licensed former licensee with CE reference BOH914. Total licence records on file: 6.
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 | 2019-10-22 | 2020-03-02 |
| CLSA Limited 中信里昂證券有限公司 |
RO | Type 4 — Advising on securities | 2019-10-22 | 2020-03-02 |
| CLSA Limited 中信里昂證券有限公司 |
RO | Type 7 — Providing automated trading services | 2019-10-22 | 2020-03-02 |
| CLSA Limited 中信里昂證券有限公司 |
Rep | Type 1 — Dealing in securities | 2019-06-03 | 2019-10-22 |
| CLSA Limited 中信里昂證券有限公司 |
Rep | Type 4 — Advising on securities | 2019-06-03 | 2019-10-22 |
| CLSA Limited 中信里昂證券有限公司 |
Rep | Type 7 — Providing automated trading services | 2019-06-03 | 2019-10-22 |