Catherine Tin Lai Poon
潘天麗
This page summarises the Hong Kong Securities and Futures Commission (SFC) public register record for Catherine Tin Lai Poon (潘天麗), a licensed former licensee with CE reference ADV934. Total licence records on file: 10.
Licence history
| Firm | Role | Regulated activity | From | To |
|---|---|---|---|---|
| Nomura Securities (Hong Kong) Limited | Rep | Type 1 - Dealing in securities | 2004-11-29 | 2009-04-30 |
| Nomura International (Hong Kong) Limited 野村國際(香港)有限公司 |
Rep | Type 1 - Dealing in securities | present | 2009-04-30 |
| Nomura Futures (Hong Kong) Limited | Rep | Type 2 - Dealing in futures contracts | present | 2009-04-30 |
| Nomura International (Hong Kong) Limited 野村國際(香港)有限公司 |
Rep | Type 2 - Dealing in futures contracts | present | 2009-04-30 |
| Nomura International (Hong Kong) Limited 野村國際(香港)有限公司 |
Rep | Type 4 - Advising on securities | present | 2004-11-18 |
| Nomura Futures (Hong Kong) Limited | Rep | Type 5 - Advising on futures contracts | present | 2004-11-18 |
| Nomura International (Hong Kong) Limited 野村國際(香港)有限公司 |
Rep | Type 5 - Advising on futures contracts | present | 2004-11-18 |
| Nomura International (Hong Kong) Limited 野村國際(香港)有限公司 |
Rep | Type 6 - Advising on corporate finance | present | 2004-11-18 |
| Nomura Futures (Hong Kong) Limited | Rep | Type 9 - Asset management | present | 2004-11-18 |
| Nomura International (Hong Kong) Limited 野村國際(香港)有限公司 |
Rep | Type 9 - Asset management | present | 2004-11-18 |