SFC Licences of WARHURST Paul Simon
Source:
Official SFC record
Key: RE = Representative, RO = Responsible Officer, EO = Executive Officer
Institution | Role | Licences | Start date | End date |
---|---|---|---|---|
Virtu ITG Hong Kong Limited | RE | 1 | 11 January 2016 | 28 April 2017 |
HSBC Securities Brokers (Asia) Limited 滙豐證券經紀(亞洲)有限公司 | RE | 1 | 03 June 2014 | 03 October 2015 |
HSBC Securities Brokers (Asia) Limited 滙豐證券經紀(亞洲)有限公司 | RE | 7 | 22 March 2011 | 15 June 2013 |
HSBC Securities Brokers (Asia) Limited 滙豐證券經紀(亞洲)有限公司 | RE | 1 | 08 March 2010 | 15 June 2013 |
Nomura Securities (Hong Kong) Limited | RE | 1 | 26 November 2008 | 03 September 2009 |
Nomura International (Hong Kong) Limited 野村國際(香港)有限公司 | RE | 2 | 10 October 2008 | 03 September 2009 |
Nomura International (Hong Kong) Limited 野村國際(香港)有限公司 | RE | 1 | 10 October 2008 | 03 September 2009 |
Lehman Brothers Asia Limited 美國雷曼兄弟亞洲投資有限公司 | RE | 2 | 04 September 2007 | 29 September 2008 |
Lehman Brothers Asia Limited 美國雷曼兄弟亞洲投資有限公司 | RE | 1 | 04 September 2007 | 29 September 2008 |
Lehman Brothers Securities Asia Limited 美國雷曼兄弟證券亞洲有限公司 | RE | 1 | 04 September 2007 | 29 September 2008 |