Moss, Alister Grahame

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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
Rep Advising on securities 2015-11-02
Rep Dealing in securities 2015-11-02

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