SFC Licences of NGUYEN-MINH Tam, Hieu
Source:
Official SFC record
Key: RE = Representative, RO = Responsible Officer, EO = Executive Officer
| Institution | Role | Licences | Start date | End date |
|---|---|---|---|---|
| Dragon Financial Partners Limited | RO | 6 | 28 November 2016 | |
| Dragon Financial Partners Limited | RO | 1 | 28 November 2016 | |
| Barclays Capital Asia Limited 巴克萊亞洲有限公司 | RE | 1 | 03 November 2009 | 21 January 2016 |
| Barclays Capital Asia Limited 巴克萊亞洲有限公司 | RE | 6 | 12 October 2009 | 21 January 2016 |
| Barclays Capital Asia Limited 巴克萊亞洲有限公司 | RE | 4 | 12 October 2009 | 21 January 2016 |
| Nomura International (Hong Kong) Limited 野村國際(香港)有限公司 | RE | 4 | 10 October 2008 | 25 August 2009 |
| Nomura International (Hong Kong) Limited 野村國際(香港)有限公司 | RE | 6 | 10 October 2008 | 25 August 2009 |
| Lehman Brothers Asia Limited 美國雷曼兄弟亞洲投資有限公司 | RE | 4 | 05 June 2008 | 29 September 2008 |
| Lehman Brothers Asia Limited 美國雷曼兄弟亞洲投資有限公司 | RE | 6 | 05 June 2008 | 29 September 2008 |