William Walker
This page summarises the Hong Kong Securities and Futures Commission (SFC) public register record for William Walker ( ), a licensed former licensee with CE reference AVX195. Total licence records on file: 4.
Licence history
| Firm | Role | Regulated activity | From | To |
|---|---|---|---|---|
| Barclays Capital Asia Limited 巴克萊亞洲有限公司 |
Rep | Type 1 - Dealing in securities | 2011-11-04 | 2013-01-24 |
| Barclays Capital Asia Limited 巴克萊亞洲有限公司 |
Rep | Type 6 - Advising on corporate finance | 2011-11-04 | 2013-01-24 |
| Daiwa Capital Markets Hong Kong Limited 大和資本市場香港有限公司 |
Rep | Type 1 - Dealing in securities | 2010-09-15 | 2011-11-01 |
| Daiwa Capital Markets Hong Kong Limited 大和資本市場香港有限公司 |
Rep | Type 6 - Advising on corporate finance | 2010-09-15 | 2011-11-01 |