David Michael Sims
This page summarises the Hong Kong Securities and Futures Commission (SFC) public register record for David Michael Sims ( ), a licensed former licensee with CE reference BGV073. 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 | 2023-12-04 | 2023-12-12 |
| Merrill Lynch (Asia Pacific) Limited | Rep | Type 1 - Dealing in securities | 2017-02-24 | 2017-02-28 |
| Merrill Lynch Far East Limited | Rep | Type 2 - Dealing in futures contracts | 2017-02-24 | 2017-02-28 |
| Merrill Lynch (Asia Pacific) Limited | Rep | Type 1 - Dealing in securities | 2016-01-19 | 2016-01-19 |
| Merrill Lynch Far East Limited | Rep | Type 2 - Dealing in futures contracts | 2016-01-19 | 2016-01-19 |