Moss, Alister Grahame
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 | Credit Suisse (Hong Kong) Limited | Rep | Automated trading services | 2003-08-22 | Rep | Dealing in securities | 2006-02-14 | Rep | Advising on corporate finance | 2005-04-19 | 2006-02-14 | Rep | Advising on securities | 2005-04-19 | 2006-02-14 | RO | Advising on corporate finance | 2006-02-14 | 2006-09-22 | RO | Advising on securities | 2006-02-14 | 2006-09-26 | RO | Dealing in securities | 2006-02-14 | 2006-09-26 | Rep | Advising on corporate finance | 2006-09-22 | 2007-04-13 | Rep | Advising on securities | 2006-09-26 | 2007-04-13 | Rep | Dealing in securities | 2006-09-26 | 2007-04-13 | RO | Advising on corporate finance | 2007-04-13 | 2012-07-23 | RO | Advising on securities | 2007-04-13 | 2012-11-17 | RO | Dealing in securities | 2007-04-13 | 2012-11-17 | RO | Automated trading services | 2010-11-24 | 2012-11-17 |
2 | NOMURA INTERNATIONAL (HONG KONG) LIMITED | Rep | Advising on corporate finance | 2015-11-02 | 2024-05-20 | Rep | Advising on securities | 2015-11-02 | 2024-05-20 | Rep | Dealing in securities | 2015-11-02 | 2024-05-20 | RO | Advising on corporate finance | 2024-05-20 | RO | Advising on securities | 2024-05-20 | RO | Dealing in securities | 2024-05-20 |
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