Clayton Root Carol

CE No. ANU341 Ceased

This page summarises the Hong Kong Securities and Futures Commission (SFC) public register record for Clayton Root Carol (), a licensed former licensee with CE reference ANU341. Total licence records on file: 5.

Licence history

FirmRoleRegulated activityFromTo
Nomura International (Hong Kong) Limited
野村國際(香港)有限公司
Rep Type 4 — Advising on securities 2009-12-30 2016-04-01
Nomura International (Hong Kong) Limited
野村國際(香港)有限公司
Rep Type 1 — Dealing in securities 2008-10-10 2016-04-01
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 2016-04-01
Lehman Brothers Asia Limited
美國雷曼兄弟亞洲投資有限公司
Rep Type 1 — Dealing in securities 2006-08-15 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 2006-08-15 2008-09-29

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