John Swafford Goff
This page summarises the Hong Kong Securities and Futures Commission (SFC) public register record for John Swafford Goff ( ), a licensed former licensee with CE reference AHS150. Total licence records on file: 14.
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 5 — Advising on futures contracts | 2018-05-21 | 2020-09-24 |
| Nomura International (Hong Kong) Limited 野村國際(香港)有限公司 |
Rep | Type 6 — Advising on corporate finance | 2018-05-21 | 2020-09-24 |
| Nomura International (Hong Kong) Limited 野村國際(香港)有限公司 |
RO | Type 1 — Dealing in securities | 2018-05-21 | 2020-09-24 |
| Nomura International (Hong Kong) Limited 野村國際(香港)有限公司 |
RO | Type 4 — Advising on securities | 2018-05-21 | 2020-09-24 |
| Nomura International (Hong Kong) Limited 野村國際(香港)有限公司 |
Rep | Type 1 — Dealing in securities | 2008-10-10 | 2018-05-21 |
| Nomura International (Hong Kong) Limited 野村國際(香港)有限公司 |
Rep | Type 2 — Dealing in futures contracts | 2008-10-10 | 2020-09-24 |
| 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 | 2008-06-18 | 2008-09-29 |
| Lehman Brothers Asia Limited 美國雷曼兄弟亞洲投資有限公司 |
Rep | Type 1 — Dealing in securities | 2008-06-06 | 2008-09-29 |
| Lehman Brothers Securities Asia Limited 美國雷曼兄弟證券亞洲有限公司 |
Rep | Type 1 — Dealing in securities | 2008-06-06 | 2008-09-29 |
| Merrill Lynch (Asia Pacific) Limited | Rep | Type 1 — Dealing in securities | present | 2008-03-11 |
| Merrill Lynch (Asia Pacific) Limited | Rep | Type 4 — Advising on securities | present | 2005-03-23 |
| Merrill Lynch (Asia Pacific) Limited | Rep | Type 6 — Advising on corporate finance | present | 2005-03-23 |
| Merrill Lynch (Asia Pacific) Limited | Rep | Type 7 — Providing automated trading services | present | 2005-03-23 |
| Merrill Lynch (Asia Pacific) Limited | Rep | Type 9 — Asset management | present | 2005-01-25 |