SFC Licences of NOVA Ria Therese
Source:
Official SFC record
Key: RE = Representative, RO = Responsible Officer, EO = Executive Officer
| Institution | Role | Licences | Start date | End date |
|---|---|---|---|---|
| Neuberger Berman Asia Limited | RO | 9 | 29 August 2011 | 31 December 2014 |
| Neuberger Berman Asia Limited | RO | 4 | 29 August 2011 | 31 December 2014 |
| Neuberger Berman Asia Limited | RO | 1 | 29 August 2011 | 31 December 2014 |
| Neuberger Berman Asia Limited | RE | 9 | 23 April 2008 | 29 August 2011 |
| Neuberger Berman Asia Limited | RE | 4 | 23 April 2008 | 29 August 2011 |
| Neuberger Berman Asia Limited | RE | 1 | 23 April 2008 | 29 August 2011 |
| Lehman Brothers Asia Limited 美國雷曼兄弟亞洲投資有限公司 | RE | 4 | 24 September 2007 | 20 March 2008 |
| Lehman Brothers Asia Limited 美國雷曼兄弟亞洲投資有限公司 | RE | 1 | 24 September 2007 | 20 March 2008 |