Hemmings, Lee Kerry
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.
Some data are hidden to fit your display. Rotate?
| Organisation | Role | Activity | From | Until | |
|---|---|---|---|---|---|
| 1 | GOLDMAN SACHS (ASIA) L.L.C. | Rep | Dealing in securities | 2005-11-29 | 2007-06-09 |
| 2 | GOLDMAN SACHS FUTURES (ASIA) LIMITED | Rep | Dealing in futures contracts | 2005-11-29 | 2007-06-09 |
| 3 | LEHMAN BROTHERS ASIA LIMITED | Rep | Dealing in futures contracts | 2007-07-03 | 2008-03-03 | Rep | Dealing in securities | 2007-07-03 | 2008-03-03 | RO | Dealing in futures contracts | 2008-03-03 | 2008-09-29 | RO | Dealing in securities | 2008-03-03 | 2008-09-29 |
| 4 | LEHMAN BROTHERS FUTURES ASIA LIMITED | Rep | Dealing in futures contracts | 2007-07-03 | 2008-03-03 | RO | Dealing in futures contracts | 2008-03-03 | 2008-09-29 |
| 5 | LEHMAN BROTHERS SECURITIES ASIA LIMITED | Rep | Dealing in securities | 2007-07-03 | 2008-03-03 | RO | Dealing in securities | 2008-03-03 | 2008-09-29 |
| 6 | Nomura Asia Investment (Hong Kong) Limited | RO | Dealing in futures contracts | 2009-04-16 | 2010-02-19 |
| 7 | NOMURA INTERNATIONAL (HONG KONG) LIMITED | Rep | Dealing in futures contracts | 2008-10-10 | 2009-04-16 | Rep | Dealing in securities | 2008-10-10 | 2009-04-16 | RO | Dealing in futures contracts | 2009-04-16 | 2011-11-01 | RO | Dealing in securities | 2009-04-16 | 2011-11-01 | Rep | Dealing in futures contracts | 2011-11-01 | 2012-09-25 | Rep | Dealing in securities | 2011-11-01 | 2012-09-25 |
| 8 | NOMURA SECURITIES (HONG KONG) LIMITED | RO | Dealing in securities | 2009-04-16 | 2011-11-01 | RO | Dealing in futures contracts | 2010-02-01 | 2011-11-01 | RO | Automated trading services | 2010-04-30 | 2011-11-01 |
Sign up for our free newsletter
Recommend Webb-site to a friend
Copyright & disclaimer, Privacy policy