SFC Licences of BATT Thomas Gordon
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 | RO | 6 | 09 October 2020 | 16 July 2021 |
| Nomura International (Hong Kong) Limited 野村國際(香港)有限公司 | RO | 4 | 09 October 2020 | 16 July 2021 |
| Nomura International (Hong Kong) Limited 野村國際(香港)有限公司 | RO | 1 | 09 October 2020 | 16 July 2021 |
| Nomura International (Hong Kong) Limited 野村國際(香港)有限公司 | RE | 6 | 08 October 2012 | 09 October 2020 |
| Nomura International (Hong Kong) Limited 野村國際(香港)有限公司 | RE | 4 | 08 October 2012 | 09 October 2020 |
| Nomura International (Hong Kong) Limited 野村國際(香港)有限公司 | RE | 1 | 08 October 2012 | 09 October 2020 |
| UBS Securities Hong Kong Limited | RE | 6 | 07 June 2012 | 07 July 2012 |