Carol, Clayton Root
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 | Advising on corporate finance | 2006-08-15 | 2008-09-29 | Rep | Dealing in securities | 2006-08-15 | 2008-09-29 |
| 2 | NOMURA INTERNATIONAL (HONG KONG) LIMITED | Rep | Advising on corporate finance | 2008-10-10 | 2016-04-01 | Rep | Dealing in securities | 2008-10-10 | 2016-04-01 | Rep | Advising on securities | 2009-12-30 | 2016-04-01 |
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