Benjamin Gareth Hartwright
This page summarises the Hong Kong Securities and Futures Commission (SFC) public register record for Benjamin Gareth Hartwright ( ), a licensed former licensee with CE reference ANQ334. Total licence records on file: 5.
Licence history
| Firm | Role | Regulated activity | From | To |
|---|---|---|---|---|
| Goldman Sachs (Asia) L.L.C. 高盛(亞洲)有限責任公司 |
Rep | Type 1 - Dealing in securities | 2016-10-31 | 2020-12-08 |
| Goldman Sachs (Asia) L.L.C. 高盛(亞洲)有限責任公司 |
Rep | Type 4 - Advising on securities | 2016-10-31 | 2020-12-08 |
| Nomura International (Hong Kong) Limited 野村國際(香港)有限公司 |
Rep | Type 1 - Dealing in securities | 2006-07-10 | 2009-04-16 |
| Nomura International (Hong Kong) Limited 野村國際(香港)有限公司 |
Rep | Type 4 - Advising on securities | 2006-07-10 | 2009-04-16 |
| Nomura International (Hong Kong) Limited 野村國際(香港)有限公司 |
Rep | Type 6 - Advising on corporate finance | 2006-07-10 | 2009-04-16 |