SFC Licences of NORRIS Richard
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 | 2 | 20 March 2009 | 24 September 2012 |
| Nomura International (Hong Kong) Limited 野村國際(香港)有限公司 | RE | 1 | 20 March 2009 | 24 September 2012 |
| Lehman Brothers Asia Limited 美國雷曼兄弟亞洲投資有限公司 | RE | 2 | 19 May 2006 | 29 September 2008 |
| Lehman Brothers Asia Limited 美國雷曼兄弟亞洲投資有限公司 | RE | 1 | 19 May 2006 | 29 September 2008 |
| UBS Securities Asia Limited | RE | 9 | 01 April 2003 | 18 May 2004 |
| UBS Securities Asia Limited | RE | 4 | 01 April 2003 | 18 May 2004 |
| UBS Securities Asia Limited | RE | 1 | 01 April 2003 | 18 May 2004 |
| UBS Securities Asia Limited | RE | 6 | 01 April 2003 | 18 May 2004 |