John Marshall Nicholson
凌瀚燊
This page summarises the Hong Kong Securities and Futures Commission (SFC) public register record for John Marshall Nicholson (凌瀚燊), a licensed former licensee with CE reference AID049. Total licence records on file: 24.
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 | 2015-03-11 | 2020-06-12 |
| Nomura International (Hong Kong) Limited 野村國際(香港)有限公司 |
Rep | Type 4 — Advising on securities | 2015-03-11 | 2020-06-12 |
| Nomura International (Hong Kong) Limited 野村國際(香港)有限公司 |
Rep | Type 6 — Advising on corporate finance | 2015-03-11 | 2020-06-12 |
| China International Capital Corporation Hong Kong Securities Limited 中國國際金融香港證券有限公司 |
Rep | Type 4 — Advising on securities | 2014-01-17 | 2014-06-03 |
| China International Capital Corporation Hong Kong Securities Limited 中國國際金融香港證券有限公司 |
RO | Type 1 — Dealing in securities | 2012-08-14 | 2014-06-03 |
| China International Capital Corporation Hong Kong Securities Limited 中國國際金融香港證券有限公司 |
RO | Type 6 — Advising on corporate finance | 2012-08-14 | 2014-06-03 |
| China International Capital Corporation Hong Kong Securities Limited 中國國際金融香港證券有限公司 |
Rep | Type 1 — Dealing in securities | 2012-05-02 | 2012-08-14 |
| China International Capital Corporation Hong Kong Securities Limited 中國國際金融香港證券有限公司 |
Rep | Type 6 — Advising on corporate finance | 2012-05-02 | 2012-08-14 |
| BOCI Asia Limited 中銀國際亞洲有限公司 |
RO | Type 1 — Dealing in securities | 2007-09-27 | 2012-02-28 |
| BOCI Securities Limited 中銀國際證券有限公司 |
RO | Type 1 — Dealing in securities | 2007-09-27 | 2012-02-28 |
| BOCI Asia Limited 中銀國際亞洲有限公司 |
RO | Type 6 — Advising on corporate finance | 2007-09-27 | 2012-02-28 |
| BOCI Asia Limited 中銀國際亞洲有限公司 |
Rep | Type 1 — Dealing in securities | 2007-01-24 | 2007-09-27 |
| BOCI Securities Limited 中銀國際證券有限公司 |
Rep | Type 1 — Dealing in securities | 2007-01-24 | 2007-09-27 |
| BOCI Asia Limited 中銀國際亞洲有限公司 |
Rep | Type 6 — Advising on corporate finance | 2007-01-24 | 2007-09-27 |
| Macquarie Capital Limited 麥格理資本股份有限公司 |
Rep | Type 1 — Dealing in securities | 2005-07-29 | 2006-12-23 |
| Macquarie Capital Limited 麥格理資本股份有限公司 |
Rep | Type 6 — Advising on corporate finance | 2005-07-29 | 2006-12-23 |
| Macquarie Corporate (Hong Kong) Limited | Rep | Type 6 — Advising on corporate finance | 2005-07-29 | 2006-12-23 |
| Credit Suisse (Hong Kong) Limited 瑞士信貸(香港)有限公司 |
Rep | Type 1 — Dealing in securities | 2004-05-15 | 2005-01-31 |
| Credit Suisse (Hong Kong) Limited 瑞士信貸(香港)有限公司 |
Rep | Type 6 — Advising on corporate finance | 2004-05-15 | 2005-01-31 |
| Credit Suisse Securities (Hong Kong) Limited 瑞士信貸證券(香港)有限公司 |
Rep | Type 1 — Dealing in securities | present | 2003-10-15 |
| Credit Suisse Securities (Hong Kong) Limited 瑞士信貸證券(香港)有限公司 |
Rep | Type 4 — Advising on securities | present | 2003-10-15 |
| Credit Suisse Securities (Hong Kong) Limited 瑞士信貸證券(香港)有限公司 |
Rep | Type 6 — Advising on corporate finance | present | 2003-10-15 |
| Credit Suisse Securities (Hong Kong) Limited 瑞士信貸證券(香港)有限公司 |
Rep | Type 7 — Providing automated trading services | present | 2003-08-22 |
| Credit Suisse Securities (Hong Kong) Limited 瑞士信貸證券(香港)有限公司 |
Rep | Type 9 — Asset management | present | 2003-10-15 |