Brian John Canniffe
This page summarises the Hong Kong Securities and Futures Commission (SFC) public register record for Brian John Canniffe ( ), a licensed former licensee with CE reference AED762. Total licence records on file: 10.
Licence history
| Firm | Role | Regulated activity | From | To |
|---|---|---|---|---|
| Merrill Lynch Far East Limited | Rep | Type 2 — Dealing in futures contracts | 2010-09-03 | 2012-03-23 |
| Merrill Lynch (Asia Pacific) Limited | RO | Type 1 — Dealing in securities | 2008-06-25 | 2012-03-23 |
| Merrill Lynch Far East Limited | RO | Type 1 — Dealing in securities | 2008-06-25 | 2012-03-23 |
| Merrill Lynch (Asia Pacific) Limited | Rep | Type 1 — Dealing in securities | 2007-01-15 | 2008-06-25 |
| Merrill Lynch Far East Limited | Rep | Type 1 — Dealing in securities | 2007-01-15 | 2008-06-25 |
| Merrill Lynch Futures (Hong Kong) Limited | Rep | Type 2 — Dealing in futures contracts | 2007-01-15 | 2010-09-03 |
| Nomura International (Hong Kong) Limited 野村國際(香港)有限公司 |
Rep | Type 1 — Dealing in securities | present | 2003-04-07 |
| Nomura International (Hong Kong) Limited 野村國際(香港)有限公司 |
Rep | Type 4 — Advising on securities | present | 2003-04-07 |
| Nomura International (Hong Kong) Limited 野村國際(香港)有限公司 |
Rep | Type 6 — Advising on corporate finance | present | 2003-04-07 |
| Nomura International (Hong Kong) Limited 野村國際(香港)有限公司 |
Rep | Type 9 — Asset management | present | 2003-04-07 |