Simon Stephen Galvin
This page summarises the Hong Kong Securities and Futures Commission (SFC) public register record for Simon Stephen Galvin ( ), a licensed former licensee with CE reference AXY950. Total licence records on file: 5.
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 | 2021-08-09 | 2024-09-30 |
| Nomura International (Hong Kong) Limited 野村國際(香港)有限公司 |
Rep | Type 4 - Advising on securities | 2021-08-09 | 2024-09-30 |
| Nomura International (Hong Kong) Limited 野村國際(香港)有限公司 |
Rep | Type 6 - Advising on corporate finance | 2021-08-09 | 2024-09-30 |
| Deutsche Securities Asia Limited 德意志證券亞洲有限公司 |
Rep | Type 6 - Advising on corporate finance | 2019-04-09 | 2019-10-31 |
| Goldman Sachs (Asia) L.L.C. 高盛(亞洲)有限責任公司 |
Rep | Type 1 - Dealing in securities | 2011-09-05 | 2016-07-14 |