Dong Soo Nam
This page summarises the Hong Kong Securities and Futures Commission (SFC) public register record for Dong Soo Nam ( ), a licensed former licensee with CE reference AOY486. Total licence records on file: 8.
Licence history
| Firm | Role | Regulated activity | From | To |
|---|---|---|---|---|
| MUFG Securities Asia Limited 三菱日聯證券亞洲有限公司 |
Rep | Type 2 — Dealing in futures contracts | 2016-07-21 | 2018-07-12 |
| MUFG Securities Asia Limited 三菱日聯證券亞洲有限公司 |
RO | Type 4 — Advising on securities | 2016-07-21 | 2018-07-12 |
| MUFG Securities Asia Limited 三菱日聯證券亞洲有限公司 |
RO | Type 1 — Dealing in securities | 2010-12-31 | 2018-07-12 |
| MUSHK Limited | Rep | Type 1 — Dealing in securities | 2010-08-18 | 2010-12-30 |
| Nomura International (Hong Kong) Limited 野村國際(香港)有限公司 |
Rep | Type 1 — Dealing in securities | 2008-10-10 | 2010-05-18 |
| 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 | 2010-05-18 |
| Lehman Brothers Asia Limited 美國雷曼兄弟亞洲投資有限公司 |
Rep | Type 1 — Dealing in securities | 2007-05-25 | 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 | 2007-05-25 | 2008-09-29 |