Brian John Canniffe
This page summarises the Hong Kong Securities and Futures Commission (SFC) public register record for Brian John Canniffe, a licensed former licensee with CE reference AED762. This person has 5.2 years of SFC licence history. Total licence records on file: 10.
Information
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Licence history
| Firm | Role | Regulated activity | From | To |
|---|---|---|---|---|
| Merrill Lynch Far East Limited | Rep | Type 2 - Dealing in futures contracts | 2010-09-03 | 2012-03-23 |
| Merrill Lynch (Asia Pacific) Limited | RO | Type 1 - Dealing in securities | 2008-06-25 | 2012-03-23 |
| Merrill Lynch Far East Limited | RO | Type 1 - Dealing in securities | 2008-06-25 | 2012-03-23 |
| Merrill Lynch (Asia Pacific) Limited | Rep | Type 1 - Dealing in securities | 2007-01-15 | 2008-06-25 |
| Merrill Lynch Far East Limited | Rep | Type 1 - Dealing in securities | 2007-01-15 | 2008-06-25 |
| Merrill Lynch Futures (Hong Kong) Limited | Rep | Type 2 - Dealing in futures contracts | 2007-01-15 | 2010-09-03 |
| Nomura International (Hong Kong) Limited 野村國際(香港)有限公司 |
Rep | Type 1 - Dealing in securities | Pre-2003 | 2003-04-07 |
| Nomura International (Hong Kong) Limited 野村國際(香港)有限公司 |
Rep | Type 4 - Advising on securities | Pre-2003 | 2003-04-07 |
| Nomura International (Hong Kong) Limited 野村國際(香港)有限公司 |
Rep | Type 6 - Advising on corporate finance | Pre-2003 | 2003-04-07 |
| Nomura International (Hong Kong) Limited 野村國際(香港)有限公司 |
Rep | Type 9 - Asset management | Pre-2003 | 2003-04-07 |