Mark Fraser Williams
This page summarises the Hong Kong Securities and Futures Commission (SFC) public register record for Mark Fraser Williams ( ), a licensed former licensee with CE reference AGJ433. Total licence records on file: 10.
Licence history
| Firm | Role | Regulated activity | From | To |
|---|---|---|---|---|
| Nomura International (Hong Kong) Limited 野村國際(香港)有限公司 |
RO | Type 1 - Dealing in securities | 2013-12-12 | 2016-03-05 |
| Nomura International (Hong Kong) Limited 野村國際(香港)有限公司 |
RO | Type 4 - Advising on securities | 2013-12-12 | 2016-03-05 |
| Nomura International (Hong Kong) Limited 野村國際(香港)有限公司 |
RO | Type 6 - Advising on corporate finance | 2013-12-12 | 2016-03-05 |
| Nomura International (Hong Kong) Limited 野村國際(香港)有限公司 |
Rep | Type 1 - Dealing in securities | 2010-08-06 | 2013-12-12 |
| Nomura International (Hong Kong) Limited 野村國際(香港)有限公司 |
Rep | Type 4 - Advising on securities | 2010-08-06 | 2013-12-12 |
| Nomura International (Hong Kong) Limited 野村國際(香港)有限公司 |
Rep | Type 6 - Advising on corporate finance | 2010-08-06 | 2013-12-12 |
| UBS Securities Asia Limited | Rep | Type 1 - Dealing in securities | present | 2003-06-25 |
| UBS Securities Asia Limited | Rep | Type 4 - Advising on securities | present | 2003-06-25 |
| UBS Securities Asia Limited | Rep | Type 6 - Advising on corporate finance | present | 2003-06-25 |
| UBS Securities Asia Limited | Rep | Type 9 - Asset management | present | 2003-06-25 |