Nicholas John Horsley-Heather

CE No. ASZ379 Ceased

This page summarises the Hong Kong Securities and Futures Commission (SFC) public register record for Nicholas John Horsley-Heather (), a licensed former licensee with CE reference ASZ379. Total licence records on file: 11.

Licence history

FirmRoleRegulated activityFromTo
J.P. Morgan Broking (Hong Kong) Limited Rep Type 1 — Dealing in securities 2012-11-28 2014-04-04
J.P. Morgan Broking (Hong Kong) Limited Rep Type 2 — Dealing in futures contracts 2012-11-28 2014-04-04
J.P. Morgan Broking (Hong Kong) Limited Rep Type 4 — Advising on securities 2012-11-28 2014-04-04
J.P. Morgan Broking (Hong Kong) Limited Rep Type 5 — Advising on futures contracts 2012-11-28 2014-04-04
Nomura Securities (Hong Kong) Limited Rep Type 2 — Dealing in futures contracts 2010-02-02 2012-09-13
Nomura International (Hong Kong) Limited
野村國際(香港)有限公司
Rep Type 1 — Dealing in securities 2009-11-02 2012-09-13
Nomura Securities (Hong Kong) Limited Rep Type 1 — Dealing in securities 2009-11-02 2012-09-13
Nomura International (Hong Kong) Limited
野村國際(香港)有限公司
Rep Type 2 — Dealing in futures contracts 2009-11-02 2012-09-13
Nomura Futures (Hong Kong) Limited Rep Type 2 — Dealing in futures contracts 2009-11-02 2010-02-19
Nomura International (Hong Kong) Limited
野村國際(香港)有限公司
Rep Type 1 — Dealing in securities 2009-05-25 2009-06-25
Nomura International (Hong Kong) Limited
野村國際(香港)有限公司
Rep Type 2 — Dealing in futures contracts 2009-05-25 2009-06-25

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