Bradshaw, Stephanie 李婉青
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 | LEHMAN BROTHERS ASIA LIMITED | Rep | Dealing in futures contracts | 2008-01-22 | 2008-09-29 | Rep | Dealing in securities | 2008-01-22 | 2008-09-29 |
| 2 | Nomura Asia Investment (Hong Kong) Limited | Rep | Dealing in futures contracts | 2008-12-10 | 2009-05-05 | Rep | Dealing in futures contracts | 2009-10-12 | 2010-02-19 |
| 3 | NOMURA INTERNATIONAL (HONG KONG) LIMITED | Rep | Dealing in futures contracts | 2008-10-10 | 2009-05-05 | Rep | Dealing in securities | 2008-10-10 | 2009-05-05 | Rep | Advising on securities | 2009-05-12 | 2010-05-04 | Rep | Dealing in futures contracts | 2009-10-12 | 2010-05-04 | Rep | Dealing in securities | 2009-10-12 | 2010-05-04 |
| 4 | NOMURA SECURITIES (HONG KONG) LIMITED | Rep | Dealing in securities | 2008-12-10 | 2009-05-05 | Rep | Dealing in securities | 2009-10-12 | 2010-05-04 | Rep | Dealing in futures contracts | 2010-02-04 | 2010-05-04 |
| 5 | UBS SECURITIES ASIA LIMITED | Rep | Dealing in futures contracts | 2005-06-10 | 2007-12-22 | Rep | Dealing in securities | 2005-06-10 | 2007-12-22 |
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