Tatsumi Mizutani
水谷竜美
This page summarises the Hong Kong Securities and Futures Commission (SFC) public register record for Tatsumi Mizutani (水谷竜美), a licensed former licensee with CE reference ACL455. Total licence records on file: 5.
Licence history
| Firm | Role | Regulated activity | From | To |
|---|---|---|---|---|
| SMBC Nikko Securities (Hong Kong) Limited 日興證券(香港)有限公司 |
RO | Type 2 — Dealing in futures contracts | 2018-01-17 | 2018-05-14 |
| SMBC Nikko Securities (Hong Kong) Limited 日興證券(香港)有限公司 |
RO | Type 5 — Advising on futures contracts | 2018-01-17 | 2018-05-14 |
| SMBC Nikko Securities (Hong Kong) Limited 日興證券(香港)有限公司 |
RO | Type 1 — Dealing in securities | 2017-11-16 | 2018-05-14 |
| SMBC Nikko Securities (Hong Kong) Limited 日興證券(香港)有限公司 |
RO | Type 4 — Advising on securities | 2017-11-16 | 2018-05-14 |
| SMBC Nikko Securities (Hong Kong) Limited 日興證券(香港)有限公司 |
RO | Type 6 — Advising on corporate finance | 2017-11-16 | 2018-05-14 |