Maxine Bernice Barnett
This page summarises the Hong Kong Securities and Futures Commission (SFC) public register record for Maxine Bernice Barnett ( ), a licensed former licensee with CE reference AOT373. Total licence records on file: 11.
Licence history
| Firm | Role | Regulated activity | From | To |
|---|---|---|---|---|
| Nomura Securities (Hong Kong) Limited | Rep | Type 2 — Dealing in futures contracts | 2010-02-04 | 2010-07-21 |
| Nomura Securities (Hong Kong) Limited | Rep | Type 1 — Dealing in securities | 2008-12-15 | 2010-07-21 |
| Nomura Futures (Hong Kong) Limited | Rep | Type 2 — Dealing in futures contracts | 2008-12-15 | 2010-02-19 |
| Nomura International (Hong Kong) Limited 野村國際(香港)有限公司 |
Rep | Type 1 — Dealing in securities | 2008-10-13 | 2010-07-21 |
| Nomura International (Hong Kong) Limited 野村國際(香港)有限公司 |
Rep | Type 2 — Dealing in futures contracts | 2008-10-13 | 2010-07-21 |
| Lehman Brothers Asia Limited 美國雷曼兄弟亞洲投資有限公司 |
Rep | Type 1 — Dealing in securities | 2008-09-08 | 2008-09-29 |
| 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 | 2008-09-08 | 2008-09-29 |
| Credit Suisse (Hong Kong) Limited 瑞士信貸(香港)有限公司 |
Rep | Type 1 — Dealing in securities | 2007-04-02 | 2008-06-06 |
| Credit Suisse Securities (Hong Kong) Limited 瑞士信貸證券(香港)有限公司 |
Rep | Type 1 — Dealing in securities | 2007-04-02 | 2008-06-06 |
| Credit Suisse Futures (Hong Kong) Limited | Rep | Type 2 — Dealing in futures contracts | 2007-04-02 | 2008-06-06 |
| Credit Suisse Futures (Hong Kong) Limited | Rep | Type 7 — Providing automated trading services | 2007-04-02 | 2008-06-06 |