Sharon Anne Soo Yee Sim
This page summarises the Hong Kong Securities and Futures Commission (SFC) public register record for Sharon Anne Soo Yee Sim ( ), a licensed former licensee with CE reference AGH852. Total licence records on file: 6.
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 | 2009-03-27 | 2011-06-19 |
| Lehman Brothers Asia Limited 美國雷曼兄弟亞洲投資有限公司 |
Rep | Type 1 - Dealing in securities | 2005-08-15 | 2008-09-29 |
| Deutsche Securities Asia Limited 德意志證券亞洲有限公司 |
Rep | Type 1 - Dealing in securities | present | 2005-07-22 |
| Deutsche Securities Asia Limited 德意志證券亞洲有限公司 |
Rep | Type 4 - Advising on securities | present | 2005-07-22 |
| Deutsche Securities Asia Limited 德意志證券亞洲有限公司 |
Rep | Type 6 - Advising on corporate finance | present | 2004-01-08 |
| Deutsche Securities Asia Limited 德意志證券亞洲有限公司 |
Rep | Type 9 - Asset management | present | 2004-01-08 |