SFC Licences of NICHOLS David
Source:
Official SFC record
Key: RE = Representative, RO = Responsible Officer, EO = Executive Officer
Institution | Role | Licences | Start date | End date |
---|---|---|---|---|
Apogee Partners Limited | RO | 9 | 14 July 2017 | 16 April 2018 |
Standard Chartered Securities (Hong Kong) Limited 渣打證券(香港)有限公司 | RE | 4 | 22 August 2013 | 08 January 2015 |
Standard Chartered Securities (Hong Kong) Limited 渣打證券(香港)有限公司 | RE | 1 | 22 August 2013 | 08 January 2015 |
Nomura International (Hong Kong) Limited 野村國際(香港)有限公司 | RE | 1 | 10 October 2008 | 14 March 2012 |
Lehman Brothers Securities Asia Limited 美國雷曼兄弟證券亞洲有限公司 | RO | 1 | 23 October 2007 | 29 September 2008 |
Lehman Brothers Asia Limited 美國雷曼兄弟亞洲投資有限公司 | RO | 1 | 15 February 2007 | 29 September 2008 |
Lehman Brothers Asia Limited 美國雷曼兄弟亞洲投資有限公司 | RE | 1 | 10 September 2006 | 15 February 2007 |
Deutsche Securities Asia Limited 德意志證券亞洲有限公司 | RE | 1 | 01 April 2003 | 11 August 2006 |
Deutsche Securities Asia Limited 德意志證券亞洲有限公司 | RE | 4 | 01 April 2003 | 11 August 2006 |
Deutsche Securities Asia Limited 德意志證券亞洲有限公司 | RE | 9 | 01 April 2003 | 08 January 2004 |
Deutsche Securities Asia Limited 德意志證券亞洲有限公司 | RE | 6 | 01 April 2003 | 08 January 2004 |