Steven John Barrett
This page summarises the Hong Kong Securities and Futures Commission (SFC) public register record for Steven John Barrett ( ), a licensed former licensee with CE reference AGN331. Total licence records on file: 9.
Licence history
| Firm | Role | Regulated activity | From | To |
|---|---|---|---|---|
| Myriad Asset Management Limited 萬方資產管理有限公司 |
Rep | Type 9 — Asset management | 2011-11-25 | 2014-04-28 |
| Black's Link Capital Limited |
Rep | Type 9 — Asset management | 2010-01-29 | 2011-05-27 |
| Polygon Investment Partners HK Limited |
Rep | Type 9 — Asset management | 2006-11-10 | 2009-06-01 |
| Nomura International (Hong Kong) Limited 野村國際(香港)有限公司 |
Rep | Type 1 — Dealing in securities | present | 2005-02-02 |
| Nomura International (Hong Kong) Limited 野村國際(香港)有限公司 |
Rep | Type 2 — Dealing in futures contracts | present | 2004-11-24 |
| Nomura International (Hong Kong) Limited 野村國際(香港)有限公司 |
Rep | Type 4 — Advising on securities | present | 2004-11-24 |
| Nomura International (Hong Kong) Limited 野村國際(香港)有限公司 |
Rep | Type 5 — Advising on futures contracts | present | 2004-11-24 |
| Nomura International (Hong Kong) Limited 野村國際(香港)有限公司 |
Rep | Type 6 — Advising on corporate finance | present | 2004-11-24 |
| Nomura International (Hong Kong) Limited 野村國際(香港)有限公司 |
Rep | Type 9 — Asset management | present | 2004-11-24 |