Richard Norris
This page summarises the Hong Kong Securities and Futures Commission (SFC) public register record for Richard Norris ( ), a licensed former licensee with CE reference AHG719. Total licence records on file: 8.
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 | 2009-03-20 | 2012-09-24 |
| Nomura International (Hong Kong) Limited 野村國際(香港)有限公司 |
Rep | Type 2 - Dealing in futures contracts | 2009-03-20 | 2012-09-24 |
| Lehman Brothers Asia Limited 美國雷曼兄弟亞洲投資有限公司 |
Rep | Type 1 - Dealing in securities | 2006-05-19 | 2008-09-29 |
| 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 | 2006-05-19 | 2008-09-29 |
| UBS Securities Asia Limited | Rep | Type 1 - Dealing in securities | present | 2004-05-18 |
| UBS Securities Asia Limited | Rep | Type 4 - Advising on securities | present | 2004-05-18 |
| UBS Securities Asia Limited | Rep | Type 6 - Advising on corporate finance | present | 2004-05-18 |
| UBS Securities Asia Limited | Rep | Type 9 - Asset management | present | 2004-05-18 |