Masaharu Ushiyama
牛山政治
This page summarises the Hong Kong Securities and Futures Commission (SFC) public register record for Masaharu Ushiyama (牛山政治), a licensed former licensee with CE reference ABA459. Total licence records on file: 14.
Licence history
| Firm | Role | Regulated activity | From | To |
|---|---|---|---|---|
| Asset Management Group Limited 資產管理集團有限公司 |
Rep | Type 1 — Dealing in securities | 2017-03-14 | 2019-09-25 |
| Asset Management Group Limited 資產管理集團有限公司 |
Rep | Type 9 — Asset management | 2017-03-14 | 2019-09-25 |
| Kaiser Securities Limited 嘉信証券有限公司 |
Rep | Type 1 — Dealing in securities | 2016-05-16 | 2017-01-17 |
| Simpson Financial Limited |
Rep | Type 4 — Advising on securities | 2013-04-08 | 2015-12-18 |
| Simpson Financial Limited |
Rep | Type 9 — Asset management | 2013-04-08 | 2015-12-18 |
| HFS Asset Management Limited | Rep | Type 9 — Asset management | 2009-05-08 | 2010-05-01 |
| HFS Asset Management Limited | Rep | Type 4 — Advising on securities | 2009-04-09 | 2010-05-01 |
| MassMutual Asia Investors Limited 美國萬通財富管理有限公司 |
Rep | Type 1 — Dealing in securities | 2006-09-26 | 2009-04-01 |
| MassMutual Asia Investors Limited 美國萬通財富管理有限公司 |
Rep | Type 4 — Advising on securities | 2006-08-08 | 2009-04-01 |
| oOo Securities (HK) Group Limited 奧翱驁集團(香港)證券有限公司 |
Rep | Type 4 — Advising on securities | 2006-04-03 | 2006-07-14 |
| Wisdom Wealth Management Limited 竑智理財策劃有限公司 |
Rep | Type 4 — Advising on securities | 2004-08-27 | 2006-03-16 |
| Nomura International (Hong Kong) Limited 野村國際(香港)有限公司 |
Rep | Type 1 — Dealing in securities | present | 2003-09-10 |
| Nomura Futures (Hong Kong) Limited | Rep | Type 2 — Dealing in futures contracts | present | 2003-09-10 |
| Nomura International (Hong Kong) Limited 野村國際(香港)有限公司 |
Rep | Type 2 — Dealing in futures contracts | present | 2003-09-10 |