SFC Licences of GU Huaiyu 谷懷雨
Source:
Official SFC record
Key: RE = Representative, RO = Responsible Officer, EO = Executive Officer
| Institution | Role | Licences | Start date | End date |
|---|---|---|---|---|
| Nomura International (Hong Kong) Limited 野村國際(香港)有限公司 | RE | 1 | 27 November 2009 | 01 September 2014 |
| Nomura International (Hong Kong) Limited 野村國際(香港)有限公司 | RE | 6 | 10 October 2008 | 01 September 2014 |
| Nomura International (Hong Kong) Limited 野村國際(香港)有限公司 | RE | 4 | 10 October 2008 | 01 September 2014 |
| Lehman Brothers Asia Limited 美國雷曼兄弟亞洲投資有限公司 | RE | 6 | 11 November 2004 | 29 September 2008 |
| Lehman Brothers Asia Limited 美國雷曼兄弟亞洲投資有限公司 | RE | 4 | 11 November 2004 | 29 September 2008 |
| UBS Securities Asia Limited | RE | 9 | 01 April 2003 | 25 June 2003 |
| UBS Securities Asia Limited | RE | 6 | 01 April 2003 | 25 June 2003 |
| UBS Securities Asia Limited | RE | 4 | 01 April 2003 | 25 June 2003 |