Halliwell, Thomas Alan
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 | CLSA LIMITED | Rep | Dealing in securities | 2010-04-20 | 2010-08-01 |
| 2 | HSBC SECURITIES BROKERS (ASIA) LIMITED | Rep | Dealing in securities | 2009-10-29 | 2010-03-19 |
| 3 | J.P. MORGAN BROKING (HONG KONG) LIMITED | Rep | Advising on securities | 2016-04-20 | 2016-10-11 | Rep | Dealing in securities | 2016-04-20 | 2016-10-11 | Rep | Advising on futures contracts | 2016-04-20 | 2019-09-20 | Rep | Dealing in futures contracts | 2016-04-20 | 2019-09-20 |
| 4 | Jefferies Hong Kong Limited | Rep | Dealing in securities | 2010-11-18 | 2015-11-27 |
| 5 | LEHMAN BROTHERS ASIA LIMITED | Rep | Dealing in futures contracts | 2007-05-14 | 2008-09-29 | Rep | Dealing in securities | 2007-05-14 | 2008-09-29 |
| 6 | LEHMAN BROTHERS FUTURES ASIA LIMITED | Rep | Dealing in futures contracts | 2007-05-14 | 2008-09-29 |
| 7 | LEHMAN BROTHERS SECURITIES ASIA LIMITED | Rep | Dealing in securities | 2007-05-14 | 2008-09-29 |
| 8 | Merrill Lynch (Asia Pacific) Limited | Rep | Dealing in securities | 2022-11-25 | 2022-12-02 | Rep | Dealing in securities | 2023-06-16 | 2023-06-21 |
| 9 | Merrill Lynch Far East Limited | Rep | Dealing in futures contracts | 2022-11-25 | 2022-12-02 | Rep | Dealing in securities | 2022-11-25 | 2022-12-02 | Rep | Dealing in futures contracts | 2023-06-16 | 2023-06-21 | Rep | Dealing in securities | 2023-06-16 | 2023-06-21 |
| 10 | NOMURA INTERNATIONAL (HONG KONG) LIMITED | Rep | Dealing in futures contracts | 2008-10-10 | 2009-04-30 | Rep | Dealing in securities | 2008-10-10 | 2009-04-30 |
| 11 | Turiya Advisors Asia Limited | Rep | Asset management | 2006-06-01 | 2007-05-01 |
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