Dirk Vincent Simmons
This page summarises the Hong Kong Securities and Futures Commission (SFC) public register record for Dirk Vincent Simmons ( ), a licensed former licensee with CE reference AQC383. Total licence records on file: 11.
Licence history
| Firm | Role | Regulated activity | From | To |
|---|---|---|---|---|
| Barclays Capital Asia Limited 巴克萊亞洲有限公司 |
Rep | Type 1 - Dealing in securities | 2013-01-14 | 2016-01-21 |
| Barclays Capital Asia Limited 巴克萊亞洲有限公司 |
Rep | Type 6 - Advising on corporate finance | 2013-01-14 | 2016-01-21 |
| Nomura International (Hong Kong) Limited 野村國際(香港)有限公司 |
Rep | Type 1 - Dealing in securities | 2009-06-01 | 2012-09-21 |
| Nomura International (Hong Kong) Limited 野村國際(香港)有限公司 |
Rep | Type 4 - Advising on securities | 2009-06-01 | 2012-09-21 |
| Nomura International (Hong Kong) Limited 野村國際(香港)有限公司 |
Rep | Type 6 - Advising on corporate finance | 2009-06-01 | 2012-09-21 |
| Merrill Lynch (Asia Pacific) Limited | Rep | Type 1 - Dealing in securities | 2007-12-03 | 2009-01-09 |
| Merrill Lynch Far East Limited | Rep | Type 1 - Dealing in securities | 2007-12-03 | 2009-01-09 |
| Merrill Lynch (Asia Pacific) Limited | Rep | Type 4 - Advising on securities | 2007-12-03 | 2009-01-09 |
| Merrill Lynch Far East Limited | Rep | Type 4 - Advising on securities | 2007-12-03 | 2009-01-09 |
| Merrill Lynch (Asia Pacific) Limited | Rep | Type 6 - Advising on corporate finance | 2007-12-03 | 2009-01-09 |
| Merrill Lynch Far East Limited | Rep | Type 6 - Advising on corporate finance | 2007-12-03 | 2009-01-09 |