SFC Licences of WILLIAMS Douglas Brock
Source:
Official SFC record
Key: RE = Representative, RO = Responsible Officer, EO = Executive Officer
| Institution | Role | Licences | Start date | End date |
|---|---|---|---|---|
| Neuberger Berman Asia Limited | RE | 9 | 30 October 2009 | 14 July 2017 |
| Neuberger Berman Asia Limited | RE | 4 | 25 November 2008 | 14 July 2017 |
| Neuberger Berman Asia Limited | RE | 1 | 25 November 2008 | 14 July 2017 |
| Lehman Brothers Asia Limited 美國雷曼兄弟亞洲投資有限公司 | RE | 1 | 29 April 2008 | 05 November 2008 |
| Lehman Brothers Asia Limited 美國雷曼兄弟亞洲投資有限公司 | RE | 4 | 29 April 2008 | 05 November 2008 |