Mark Fraser Williams

CE No. AGJ433 Ceased

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

FirmRoleRegulated activityFromTo
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

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