Lee Kerry Hemmings
This page summarises the Hong Kong Securities and Futures Commission (SFC) public register record for Lee Kerry Hemmings ( ), a licensed former licensee with CE reference AFK088. Total licence records on file: 20.
Licence history
| Firm | Role | Regulated activity | From | To |
|---|---|---|---|---|
| Nomura International (Hong Kong) Limited 野村國際(香港)有限公司 |
Rep | Type 1 — Dealing in securities | 2011-11-01 | 2012-09-25 |
| Nomura International (Hong Kong) Limited 野村國際(香港)有限公司 |
Rep | Type 2 — Dealing in futures contracts | 2011-11-01 | 2012-09-25 |
| Nomura Securities (Hong Kong) Limited | RO | Type 7 — Providing automated trading services | 2010-04-30 | 2011-11-01 |
| Nomura Securities (Hong Kong) Limited | RO | Type 2 — Dealing in futures contracts | 2010-02-01 | 2011-11-01 |
| Nomura International (Hong Kong) Limited 野村國際(香港)有限公司 |
RO | Type 1 — Dealing in securities | 2009-04-16 | 2011-11-01 |
| Nomura Securities (Hong Kong) Limited | RO | Type 1 — Dealing in securities | 2009-04-16 | 2011-11-01 |
| Nomura International (Hong Kong) Limited 野村國際(香港)有限公司 |
RO | Type 2 — Dealing in futures contracts | 2009-04-16 | 2011-11-01 |
| Nomura Futures (Hong Kong) Limited | RO | Type 2 — Dealing in futures contracts | 2009-04-16 | 2010-02-19 |
| Nomura International (Hong Kong) Limited 野村國際(香港)有限公司 |
Rep | Type 1 — Dealing in securities | 2008-10-10 | 2009-04-16 |
| Nomura International (Hong Kong) Limited 野村國際(香港)有限公司 |
Rep | Type 2 — Dealing in futures contracts | 2008-10-10 | 2009-04-16 |
| Lehman Brothers Asia Limited 美國雷曼兄弟亞洲投資有限公司 |
RO | Type 1 — Dealing in securities | 2008-03-03 | 2008-09-29 |
| Lehman Brothers Securities Asia Limited 美國雷曼兄弟證券亞洲有限公司 |
RO | Type 1 — Dealing in securities | 2008-03-03 | 2008-09-29 |
| Lehman Brothers Asia Limited 美國雷曼兄弟亞洲投資有限公司 |
RO | Type 2 — Dealing in futures contracts | 2008-03-03 | 2008-09-29 |
| Lehman Brothers Futures Asia Limited |
RO | Type 2 — Dealing in futures contracts | 2008-03-03 | 2008-09-29 |
| Lehman Brothers Asia Limited 美國雷曼兄弟亞洲投資有限公司 |
Rep | Type 1 — Dealing in securities | 2007-07-03 | 2008-03-03 |
| Lehman Brothers Securities Asia Limited 美國雷曼兄弟證券亞洲有限公司 |
Rep | Type 1 — Dealing in securities | 2007-07-03 | 2008-03-03 |
| Lehman Brothers Asia Limited 美國雷曼兄弟亞洲投資有限公司 |
Rep | Type 2 — Dealing in futures contracts | 2007-07-03 | 2008-03-03 |
| Lehman Brothers Futures Asia Limited |
Rep | Type 2 — Dealing in futures contracts | 2007-07-03 | 2008-03-03 |
| Goldman Sachs (Asia) L.L.C. 高盛(亞洲)有限責任公司 |
Rep | Type 1 — Dealing in securities | 2005-11-29 | 2007-06-09 |
| Goldman Sachs Futures (Asia) Limited 高盛期貨(亞洲)有限公司 |
Rep | Type 2 — Dealing in futures contracts | 2005-11-29 | 2007-06-09 |