SFC Licences of GOFF John Swafford

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	RO	4	21 May 2018	24 September 2020
Nomura International (Hong Kong) Limited 野村國際(香港)有限公司	RO	1	21 May 2018	24 September 2020
Nomura International (Hong Kong) Limited 野村國際(香港)有限公司	RE	6	21 May 2018	24 September 2020
Nomura International (Hong Kong) Limited 野村國際(香港)有限公司	RE	5	21 May 2018	24 September 2020
Nomura International (Hong Kong) Limited 野村國際(香港)有限公司	RE	2	10 October 2008	24 September 2020
Nomura International (Hong Kong) Limited 野村國際(香港)有限公司	RE	1	10 October 2008	21 May 2018
Lehman Brothers Asia Limited 美國雷曼兄弟亞洲投資有限公司	RE	2	18 June 2008	29 September 2008
Lehman Brothers Asia Limited 美國雷曼兄弟亞洲投資有限公司	RE	1	06 June 2008	29 September 2008
Lehman Brothers Securities Asia Limited 美國雷曼兄弟證券亞洲有限公司	RE	1	06 June 2008	29 September 2008
Merrill Lynch (Asia Pacific) Limited	RE	1	01 April 2003	11 March 2008
Merrill Lynch (Asia Pacific) Limited	RE	4	01 April 2003	23 March 2005
Merrill Lynch (Asia Pacific) Limited	RE	6	01 April 2003	23 March 2005
Merrill Lynch (Asia Pacific) Limited	RE	7	01 April 2003	23 March 2005
Merrill Lynch (Asia Pacific) Limited	RE	9	01 April 2003	25 January 2005