Leonard Fishman
This page summarises the Hong Kong Securities and Futures Commission (SFC) public register record for Leonard Fishman ( ), a licensed former licensee with CE reference ARH065. Total licence records on file: 4.
Licence history
| Firm | Role | Regulated activity | From | To |
|---|---|---|---|---|
| Nomura International (Hong Kong) Limited 野村國際(香港)有限公司 |
Rep | Type 4 - Advising on securities | 2008-11-05 | 2009-06-01 |
| Nomura International (Hong Kong) Limited 野村國際(香港)有限公司 |
Rep | Type 6 - Advising on corporate finance | 2008-11-05 | 2009-06-01 |
| Lehman Brothers Asia Limited 美國雷曼兄弟亞洲投資有限公司 |
Rep | Type 4 - Advising on securities | 2008-07-10 | 2008-09-29 |
| Lehman Brothers Asia Limited 美國雷曼兄弟亞洲投資有限公司 |
Rep | Type 6 - Advising on corporate finance | 2008-07-10 | 2008-09-29 |