Williams, David Charles (SFC:AFB389)
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 | BEAR STEARNS ASIA LIMITED | Rep | Advising on futures contracts | 2008-08-20 | 2009-11-23 | Rep | Advising on securities | 2008-08-20 | 2009-11-23 | Rep | Dealing in futures contracts | 2008-08-20 | 2009-11-23 | Rep | Dealing in securities | 2008-08-20 | 2009-11-23 |
| 2 | J.P. MORGAN BROKING (HONG KONG) LIMITED | Rep | Advising on futures contracts | 2007-09-03 | 2012-02-01 | Rep | Advising on securities | 2007-09-03 | 2012-02-01 | Rep | Dealing in futures contracts | 2007-09-03 | 2012-02-01 | Rep | Dealing in securities | 2007-09-03 | 2012-02-01 |
| 3 | NOMURA INTERNATIONAL (HONG KONG) LIMITED | Rep | Dealing in securities | 2006-09-14 | 2006-12-13 |
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