Jonathan Ceri Lloyd
This page summarises the Hong Kong Securities and Futures Commission (SFC) public register record for Jonathan Ceri Lloyd ( ), a licensed former licensee with CE reference ADG111. Total licence records on file: 11.
Licence history
| Firm | Role | Regulated activity | From | To |
|---|---|---|---|---|
| Neuberger Berman Asia Limited | Rep | Type 1 — Dealing in securities | 2010-04-23 | 2010-06-04 |
| Standard Chartered Securities (Hong Kong) Limited 渣打證券(香港)有限公司 |
Rep | Type 1 — Dealing in securities | 2008-05-05 | 2009-03-07 |
| Standard Chartered Securities (Hong Kong) Limited 渣打證券(香港)有限公司 |
Rep | Type 4 — Advising on securities | 2008-05-05 | 2009-03-07 |
| Mirabaud (Asia) Limited |
Rep | Type 4 — Advising on securities | 2007-07-10 | 2008-04-01 |
| Stanhill (Hong Kong) Limited 高誠集團(香港)有限公司 |
Rep | Type 4 — Advising on securities | 2006-04-04 | 2007-03-31 |
| Stanhill (Hong Kong) Limited 高誠集團(香港)有限公司 |
Rep | Type 6 — Advising on corporate finance | 2006-04-04 | 2007-03-31 |
| MIB Futures (Hong Kong) Limited 馬銀期貨(香港)有限公司 |
Rep | Type 2 — Dealing in futures contracts | 2003-06-02 | 2006-03-27 |
| MIB Securities (Hong Kong) Limited 馬銀證券(香港)有限公司 |
Rep | Type 1 — Dealing in securities | present | 2006-03-27 |
| MIB Securities (Hong Kong) Limited 馬銀證券(香港)有限公司 |
Rep | Type 4 — Advising on securities | present | 2003-05-06 |
| MIB Securities (Hong Kong) Limited 馬銀證券(香港)有限公司 |
Rep | Type 6 — Advising on corporate finance | present | 2003-05-06 |
| MIB Securities (Hong Kong) Limited 馬銀證券(香港)有限公司 |
Rep | Type 9 — Asset management | present | 2003-05-06 |