Barnett, Maxine Bernice
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 | Dealing in securities | 2007-04-02 | 2008-06-06 |
| 2 | Credit Suisse Futures (Hong Kong) Limited | Rep | Automated trading services | 2007-04-02 | 2008-06-06 | Rep | Dealing in futures contracts | 2007-04-02 | 2008-06-06 |
| 3 | Credit Suisse Securities (Hong Kong) Limited | Rep | Dealing in securities | 2007-04-02 | 2008-06-06 |
| 4 | LEHMAN BROTHERS ASIA LIMITED | Rep | Dealing in futures contracts | 2008-09-08 | 2008-09-29 | Rep | Dealing in securities | 2008-09-08 | 2008-09-29 |
| 5 | Nomura Asia Investment (Hong Kong) Limited | Rep | Dealing in futures contracts | 2008-12-15 | 2010-02-19 |
| 6 | NOMURA INTERNATIONAL (HONG KONG) LIMITED | Rep | Dealing in futures contracts | 2008-10-13 | 2010-07-21 | Rep | Dealing in securities | 2008-10-13 | 2010-07-21 |
| 7 | NOMURA SECURITIES (HONG KONG) LIMITED | Rep | Dealing in securities | 2008-12-15 | 2010-07-21 | Rep | Dealing in futures contracts | 2010-02-04 | 2010-07-21 |
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