Hemmings, Lee Kerry
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 | GOLDMAN SACHS (ASIA) L.L.C. | Rep | Dealing in securities | 2005-11-29 | 2007-06-09 |
2 | GOLDMAN SACHS FUTURES (ASIA) LIMITED | Rep | Dealing in futures contracts | 2005-11-29 | 2007-06-09 |
3 | LEHMAN BROTHERS ASIA LIMITED | Rep | Dealing in futures contracts | 2007-07-03 | 2008-03-03 | Rep | Dealing in securities | 2007-07-03 | 2008-03-03 | RO | Dealing in futures contracts | 2008-03-03 | 2008-09-29 | RO | Dealing in securities | 2008-03-03 | 2008-09-29 |
4 | LEHMAN BROTHERS FUTURES ASIA LIMITED | Rep | Dealing in futures contracts | 2007-07-03 | 2008-03-03 | RO | Dealing in futures contracts | 2008-03-03 | 2008-09-29 |
5 | LEHMAN BROTHERS SECURITIES ASIA LIMITED | Rep | Dealing in securities | 2007-07-03 | 2008-03-03 | RO | Dealing in securities | 2008-03-03 | 2008-09-29 |
6 | Nomura Asia Investment (Hong Kong) Limited | RO | Dealing in futures contracts | 2009-04-16 | 2010-02-19 |
7 | NOMURA INTERNATIONAL (HONG KONG) LIMITED | Rep | Dealing in futures contracts | 2008-10-10 | 2009-04-16 | Rep | Dealing in securities | 2008-10-10 | 2009-04-16 | RO | Dealing in futures contracts | 2009-04-16 | 2011-11-01 | RO | Dealing in securities | 2009-04-16 | 2011-11-01 | Rep | Dealing in futures contracts | 2011-11-01 | 2012-09-25 | Rep | Dealing in securities | 2011-11-01 | 2012-09-25 |
8 | NOMURA SECURITIES (HONG KONG) LIMITED | RO | Dealing in securities | 2009-04-16 | 2011-11-01 | RO | Dealing in futures contracts | 2010-02-01 | 2011-11-01 | RO | Automated trading services | 2010-04-30 | 2011-11-01 |
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