Michael James Dafforn
This page summarises the Hong Kong Securities and Futures Commission (SFC) public register record for Michael James Dafforn ( ), a licensed former licensee with CE reference AUX135. Total licence records on file: 3.
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 1 - Dealing in securities | 2019-09-26 | 2019-10-17 |
| Nomura International (Hong Kong) Limited 野村國際(香港)有限公司 |
Rep | Type 2 - Dealing in futures contracts | 2019-09-26 | 2019-10-17 |
| Barclays Capital Asia Limited 巴克萊亞洲有限公司 |
Rep | Type 1 - Dealing in securities | 2010-03-24 | 2014-05-05 |