Nicholas John Horsley-Heather
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
| Firm | Role | Regulated activity | From | To |
|---|---|---|---|---|
| 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 |