Richard Formby Gillman
This page summarises the Hong Kong Securities and Futures Commission (SFC) public register record for Richard Formby Gillman ( ), a licensed former licensee with CE reference AFR325. Total licence records on file: 8.
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 | 2010-12-22 | 2015-10-01 |
| Nomura International (Hong Kong) Limited 野村國際(香港)有限公司 |
RO | Type 4 — Advising on securities | 2010-12-22 | 2015-10-01 |
| Nomura International (Hong Kong) Limited 野村國際(香港)有限公司 |
RO | Type 6 — Advising on corporate finance | 2010-12-22 | 2015-10-01 |
| Nomura International (Hong Kong) Limited 野村國際(香港)有限公司 |
Rep | Type 1 — Dealing in securities | 2009-11-27 | 2010-12-22 |
| Nomura International (Hong Kong) Limited 野村國際(香港)有限公司 |
Rep | Type 4 — Advising on securities | 2008-10-10 | 2010-12-22 |
| Nomura International (Hong Kong) Limited 野村國際(香港)有限公司 |
Rep | Type 6 — Advising on corporate finance | 2008-10-10 | 2010-12-22 |
| Lehman Brothers Asia Limited 美國雷曼兄弟亞洲投資有限公司 |
Rep | Type 4 — Advising on securities | 2007-05-09 | 2008-09-29 |
| Lehman Brothers Asia Limited 美國雷曼兄弟亞洲投資有限公司 |
Rep | Type 6 — Advising on corporate finance | 2007-05-09 | 2008-09-29 |