SFC Licences of GOODING Nial Dennis Henry
Source:
Official SFC record
Key: RE = Representative, RO = Responsible Officer, EO = Executive Officer
| Institution | Role | Licences | Start date | End date |
|---|---|---|---|---|
| GCIS Limited | RO | 9 | 22 October 2014 | |
| GCIS Limited | RE | 9 | 05 May 2014 | 22 October 2014 |
| Northwest Investment Management (Hong Kong) Limited | RE | 9 | 30 April 2010 | 27 August 2012 |
| UBS Securities Asia Limited | RE | 2 | 05 June 2008 | 19 March 2010 |
| UBS Securities Asia Limited | RE | 1 | 01 April 2003 | 19 March 2010 |
| UBS Securities Asia Limited | RE | 4 | 01 April 2003 | 24 March 2005 |
| UBS Securities Asia Limited | RE | 9 | 01 April 2003 | 04 February 2005 |
| UBS Securities Asia Limited | RE | 6 | 01 April 2003 | 04 February 2005 |