David Charles Williams
This page summarises the Hong Kong Securities and Futures Commission (SFC) public register record for David Charles Williams ( ), a licensed former licensee with CE reference AFB389. Total licence records on file: 9.
Licence history
| Firm | Role | Regulated activity | From | To |
|---|---|---|---|---|
| Bear Stearns Asia Limited 貝爾斯登亞洲有限公司 |
Rep | Type 1 - Dealing in securities | 2008-08-20 | 2009-11-23 |
| Bear Stearns Asia Limited 貝爾斯登亞洲有限公司 |
Rep | Type 2 - Dealing in futures contracts | 2008-08-20 | 2009-11-23 |
| Bear Stearns Asia Limited 貝爾斯登亞洲有限公司 |
Rep | Type 4 - Advising on securities | 2008-08-20 | 2009-11-23 |
| Bear Stearns Asia Limited 貝爾斯登亞洲有限公司 |
Rep | Type 5 - Advising on futures contracts | 2008-08-20 | 2009-11-23 |
| J.P. Morgan Broking (Hong Kong) Limited | Rep | Type 1 - Dealing in securities | 2007-09-03 | 2012-02-01 |
| J.P. Morgan Broking (Hong Kong) Limited | Rep | Type 2 - Dealing in futures contracts | 2007-09-03 | 2012-02-01 |
| J.P. Morgan Broking (Hong Kong) Limited | Rep | Type 4 - Advising on securities | 2007-09-03 | 2012-02-01 |
| J.P. Morgan Broking (Hong Kong) Limited | Rep | Type 5 - Advising on futures contracts | 2007-09-03 | 2012-02-01 |
| Nomura International (Hong Kong) Limited 野村國際(香港)有限公司 |
Rep | Type 1 - Dealing in securities | 2006-09-14 | 2006-12-13 |