John Joseph Adair
This page summarises the Hong Kong Securities and Futures Commission (SFC) public register record for John Joseph Adair ( ), a licensed former licensee with CE reference ADR043. Total licence records on file: 18.
Licence history
| Firm | Role | Regulated activity | From | To |
|---|---|---|---|---|
| Nomura International (Hong Kong) Limited 野村國際(香港)有限公司 |
RO | Type 1 — Dealing in securities | 2012-03-01 | 2013-01-24 |
| Nomura Securities (Hong Kong) Limited | RO | Type 1 — Dealing in securities | 2012-03-01 | 2013-01-24 |
| Nomura International (Hong Kong) Limited 野村國際(香港)有限公司 |
RO | Type 2 — Dealing in futures contracts | 2012-03-01 | 2013-01-24 |
| Nomura Securities (Hong Kong) Limited | RO | Type 2 — Dealing in futures contracts | 2012-03-01 | 2013-01-24 |
| Nomura Securities (Hong Kong) Limited | RO | Type 7 — Providing automated trading services | 2012-03-01 | 2012-12-08 |
| Nomura International (Hong Kong) Limited 野村國際(香港)有限公司 |
Rep | Type 1 — Dealing in securities | 2009-03-13 | 2012-03-01 |
| Nomura International (Hong Kong) Limited 野村國際(香港)有限公司 |
Rep | Type 2 — Dealing in futures contracts | 2009-03-13 | 2012-03-01 |
| Lehman Brothers Securities Asia Limited 美國雷曼兄弟證券亞洲有限公司 |
Rep | Type 1 — Dealing in securities | 2007-05-30 | 2008-09-29 |
| Lehman Brothers Asia Limited 美國雷曼兄弟亞洲投資有限公司 |
Rep | Type 1 — Dealing in securities | 2007-04-17 | 2008-09-29 |
| Lehman Brothers Asia Limited 美國雷曼兄弟亞洲投資有限公司 |
Rep | Type 2 — Dealing in futures contracts | 2007-04-17 | 2008-09-29 |
| Goldman Sachs (Asia) Securities Limited 高盛(亞洲)證券有限公司 |
RO | Type 4 — Advising on securities | 2006-07-31 | 2007-02-24 |
| Goldman Sachs (Asia) Securities Limited 高盛(亞洲)證券有限公司 |
RO | Type 1 — Dealing in securities | 2005-04-28 | 2007-02-24 |
| Goldman Sachs (Asia) L.L.C. 高盛(亞洲)有限責任公司 |
RO | Type 1 — Dealing in securities | 2004-09-15 | 2007-02-24 |
| Goldman Sachs Futures (Asia) Limited 高盛期貨(亞洲)有限公司 |
Rep | Type 2 — Dealing in futures contracts | 2004-06-24 | 2007-02-24 |
| Goldman Sachs (Asia) L.L.C. 高盛(亞洲)有限責任公司 |
Rep | Type 1 — Dealing in securities | present | 2004-09-15 |
| Goldman Sachs (Asia) L.L.C. 高盛(亞洲)有限責任公司 |
Rep | Type 4 — Advising on securities | present | 2004-06-01 |
| Goldman Sachs (Asia) L.L.C. 高盛(亞洲)有限責任公司 |
Rep | Type 6 — Advising on corporate finance | present | 2004-06-01 |
| Goldman Sachs (Asia) L.L.C. 高盛(亞洲)有限責任公司 |
Rep | Type 9 — Asset management | present | 2004-06-01 |