Yu Min Chua
This page summarises the Hong Kong Securities and Futures Commission (SFC) public register record for Yu Min Chua ( ), a licensed former licensee with CE reference AHN068. Total licence records on file: 11.
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 | 2009-12-21 | 2016-03-01 |
| Nomura International (Hong Kong) Limited 野村國際(香港)有限公司 |
Rep | Type 4 — Advising on securities | 2008-10-10 | 2016-03-01 |
| Nomura International (Hong Kong) Limited 野村國際(香港)有限公司 |
Rep | Type 6 — Advising on corporate finance | 2008-10-10 | 2016-03-01 |
| Lehman Brothers Asia Limited 美國雷曼兄弟亞洲投資有限公司 |
Rep | Type 4 — Advising on securities | 2006-09-12 | 2008-09-29 |
| Lehman Brothers Asia Limited 美國雷曼兄弟亞洲投資有限公司 |
Rep | Type 6 — Advising on corporate finance | 2006-09-12 | 2008-09-29 |
| Lehman Brothers Asia Limited 美國雷曼兄弟亞洲投資有限公司 |
Rep | Type 4 — Advising on securities | present | 2005-08-12 |
| Lehman Brothers Asia Holdings Limited 美國雷曼兄弟亞洲控股有限公司 |
Rep | Type 4 — Advising on securities | present | 2003-08-12 |
| Lehman Brothers Asia Limited 美國雷曼兄弟亞洲投資有限公司 |
Rep | Type 6 — Advising on corporate finance | present | 2005-08-12 |
| Lehman Brothers Asia Holdings Limited 美國雷曼兄弟亞洲控股有限公司 |
Rep | Type 6 — Advising on corporate finance | present | 2003-08-12 |
| Lehman Brothers Asia Holdings Limited 美國雷曼兄弟亞洲控股有限公司 |
Rep | Type 9 — Asset management | present | 2003-08-12 |
| Lehman Brothers Asia Limited 美國雷曼兄弟亞洲投資有限公司 |
Rep | Type 9 — Asset management | present | 2003-08-12 |