SFC Licences of CAROL Clayton Root
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 | 4 | 30 December 2009 | 01 April 2016 |
| Nomura International (Hong Kong) Limited 野村國際(香港)有限公司 | RE | 6 | 10 October 2008 | 01 April 2016 |
| Nomura International (Hong Kong) Limited 野村國際(香港)有限公司 | RE | 1 | 10 October 2008 | 01 April 2016 |
| Lehman Brothers Asia Limited 美國雷曼兄弟亞洲投資有限公司 | RE | 1 | 15 August 2006 | 29 September 2008 |
| Lehman Brothers Asia Limited 美國雷曼兄弟亞洲投資有限公司 | RE | 6 | 15 August 2006 | 29 September 2008 |