Ku, Patrick Kwan 顧琨
SFC licenses
Rep=Representative, RO=Responsible Officer. A person without a starting date was in that role since at least 1-Apr-2003 when the current register began.
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| Organisation | Role | Activity | From | Until | |
|---|---|---|---|---|---|
| 1 | BARCLAYS CAPITAL ASIA LIMITED | Rep | Advising on corporate finance | 2013-10-28 | 2014-06-03 | Rep | Dealing in securities | 2013-10-28 | 2014-06-03 |
| 2 | HUATAI FINANCIAL HOLDINGS (HONG KONG) LIMITED | Rep | Advising on corporate finance | 2015-07-29 | 2017-09-29 | Rep | Advising on securities | 2015-07-29 | 2017-09-29 | Rep | Dealing in securities | 2015-07-29 | 2017-09-29 |
| 3 | Merrill Lynch (Asia Pacific) Limited | Rep | Advising on corporate finance | 2010-02-17 | 2013-08-24 | Rep | Advising on securities | 2010-02-17 | 2013-08-24 | Rep | Dealing in securities | 2010-02-17 | 2013-08-24 |
| 4 | Merrill Lynch Far East Limited | Rep | Advising on corporate finance | 2010-02-17 | 2013-08-24 | Rep | Advising on securities | 2010-02-17 | 2013-08-24 | Rep | Dealing in securities | 2010-02-17 | 2013-08-24 |
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