Douglas Brock Williams

CE No. AQX957 Ceased

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

FirmRoleRegulated activityFromTo
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

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