Stephen Donald Metcalfe
This page summarises the Hong Kong Securities and Futures Commission (SFC) public register record for Stephen Donald Metcalfe ( ), a licensed former licensee with CE reference ACR545. Total licence records on file: 12.
Licence history
| Firm | Role | Regulated activity | From | To |
|---|---|---|---|---|
| Samsung Securities (Asia) Limited 三星證券(亞洲)有限公司 |
RO | Type 6 — Advising on corporate finance | 2011-10-18 | 2012-02-03 |
| Samsung Securities (Asia) Limited 三星證券(亞洲)有限公司 |
Rep | Type 1 — Dealing in securities | 2010-10-08 | 2012-02-03 |
| Samsung Securities (Asia) Limited 三星證券(亞洲)有限公司 |
Rep | Type 6 — Advising on corporate finance | 2010-10-08 | 2011-10-18 |
| Nomura International (Hong Kong) Limited 野村國際(香港)有限公司 |
RO | Type 6 — Advising on corporate finance | 2007-01-10 | 2007-06-05 |
| Nomura International (Hong Kong) Limited 野村國際(香港)有限公司 |
Rep | Type 4 — Advising on securities | 2004-12-06 | 2007-06-05 |
| Nomura International (Hong Kong) Limited 野村國際(香港)有限公司 |
Rep | Type 1 — Dealing in securities | 2004-09-07 | 2007-06-05 |
| Nomura International (Hong Kong) Limited 野村國際(香港)有限公司 |
Rep | Type 6 — Advising on corporate finance | 2004-09-07 | 2007-01-10 |
| Credit Suisse Securities (Hong Kong) Limited 瑞士信貸證券(香港)有限公司 |
Rep | Type 1 — Dealing in securities | present | 2004-07-24 |
| Credit Suisse Securities (Hong Kong) Limited 瑞士信貸證券(香港)有限公司 |
Rep | Type 4 — Advising on securities | present | 2004-07-24 |
| Credit Suisse Securities (Hong Kong) Limited 瑞士信貸證券(香港)有限公司 |
Rep | Type 6 — Advising on corporate finance | present | 2004-07-24 |
| Credit Suisse Securities (Hong Kong) Limited 瑞士信貸證券(香港)有限公司 |
Rep | Type 7 — Providing automated trading services | present | 2003-08-22 |
| Credit Suisse Securities (Hong Kong) Limited 瑞士信貸證券(香港)有限公司 |
Rep | Type 9 — Asset management | present | 2004-07-24 |