Nicholas William Cubbon
郭健勤
This page summarises the Hong Kong Securities and Futures Commission (SFC) public register record for Nicholas William Cubbon (郭健勤), a licensed former licensee with CE reference AYT705. Total licence records on file: 8.
Licence history
| Firm | Role | Regulated activity | From | To |
|---|---|---|---|---|
| Millennium Capital Management (Hong Kong) Limited | Rep | Type 9 - Asset management | 2020-06-18 | 2022-08-29 |
| Millennium Capital Management (Hong Kong) Limited | Rep | Type 9 - Asset management | 2017-11-13 | 2019-11-29 |
| Credit Suisse (Hong Kong) Limited 瑞士信貸(香港)有限公司 |
Rep | Type 1 - Dealing in securities | 2015-02-13 | 2017-07-21 |
| Credit Suisse Securities (Hong Kong) Limited 瑞士信貸證券(香港)有限公司 |
Rep | Type 1 - Dealing in securities | 2015-02-13 | 2017-07-21 |
| Credit Suisse (Hong Kong) Limited 瑞士信貸(香港)有限公司 |
Rep | Type 2 - Dealing in futures contracts | 2015-02-13 | 2017-07-21 |
| Merrill Lynch (Asia Pacific) Limited | Rep | Type 1 - Dealing in securities | 2012-01-18 | 2014-10-29 |
| Merrill Lynch Far East Limited | Rep | Type 1 - Dealing in securities | 2012-01-18 | 2013-10-02 |
| Merrill Lynch Far East Limited | Rep | Type 2 - Dealing in futures contracts | 2012-01-18 | 2014-10-29 |