Douglas Brock Williams
This page summarises the Hong Kong Securities and Futures Commission (SFC) public register record for Douglas Brock Williams ( ), a licensed former licensee with CE reference AQX957. Total licence records on file: 5.
Licence history
| Firm | Role | Regulated activity | From | To |
|---|---|---|---|---|
| Neuberger Berman Asia Limited | Rep | Type 9 - Asset management | 2009-10-30 | 2017-07-14 |
| Neuberger Berman Asia Limited | Rep | Type 1 - Dealing in securities | 2008-11-25 | 2017-07-14 |
| Neuberger Berman Asia Limited | Rep | Type 4 - Advising on securities | 2008-11-25 | 2017-07-14 |
| Lehman Brothers Asia Limited 美國雷曼兄弟亞洲投資有限公司 |
Rep | Type 1 - Dealing in securities | 2008-04-29 | 2008-11-05 |
| Lehman Brothers Asia Limited 美國雷曼兄弟亞洲投資有限公司 |
Rep | Type 4 - Advising on securities | 2008-04-29 | 2008-11-05 |