Nicholson, John Marshall 凌瀚燊
SFC licenses
Rep=Representative, RO=Responsible Officer. A person without a starting date was in that role since at least 1-Apr-2003 when the current register began.
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Organisation | Role | Activity | From | Until | |
---|---|---|---|---|---|
1 | BOCI ASIA LIMITED | Rep | Advising on corporate finance | 2007-01-24 | 2007-09-27 | Rep | Dealing in securities | 2007-01-24 | 2007-09-27 | RO | Advising on corporate finance | 2007-09-27 | 2012-02-28 | RO | Dealing in securities | 2007-09-27 | 2012-02-28 |
2 | BOCI SECURITIES LIMITED | Rep | Dealing in securities | 2007-01-24 | 2007-09-27 | RO | Dealing in securities | 2007-09-27 | 2012-02-28 |
3 | CHINA INTERNATIONAL CAPITAL CORPORATION HONG KONG SECURITIES LIMITED | Rep | Advising on corporate finance | 2012-05-02 | 2012-08-14 | Rep | Dealing in securities | 2012-05-02 | 2012-08-14 | RO | Advising on corporate finance | 2012-08-14 | 2014-06-03 | RO | Dealing in securities | 2012-08-14 | 2014-06-03 | Rep | Advising on securities | 2014-01-17 | 2014-06-03 |
4 | Credit Suisse (Hong Kong) Limited | Rep | Advising on corporate finance | 2004-05-15 | 2005-01-31 | Rep | Dealing in securities | 2004-05-15 | 2005-01-31 |
5 | Credit Suisse Securities (Hong Kong) Limited | Rep | Automated trading services | 2003-08-22 | Rep | Advising on corporate finance | 2003-10-15 | Rep | Advising on securities | 2003-10-15 | Rep | Asset management | 2003-10-15 | Rep | Dealing in securities | 2003-10-15 |
6 | MACQUARIE CAPITAL LIMITED | Rep | Advising on corporate finance | 2005-07-29 | 2006-12-23 | Rep | Dealing in securities | 2005-07-29 | 2006-12-23 |
7 | Macquarie Corporate (Hong Kong) Limited | Rep | Advising on corporate finance | 2005-07-29 | 2006-12-23 |
8 | NOMURA INTERNATIONAL (HONG KONG) LIMITED | Rep | Advising on corporate finance | 2015-03-11 | 2020-06-12 | Rep | Advising on securities | 2015-03-11 | 2020-06-12 | Rep | Dealing in securities | 2015-03-11 | 2020-06-12 |
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