Simon Nicholas Lionel Wood
This page summarises the Hong Kong Securities and Futures Commission (SFC) public register record for Simon Nicholas Lionel Wood ( ), a licensed former licensee with CE reference AGJ116. Total licence records on file: 14.
Licence history
| Firm | Role | Regulated activity | From | To |
|---|---|---|---|---|
| BNP Paribas Securities (Asia) Limited 法國巴黎證券(亞洲)有限公司 |
Rep | Type 6 — Advising on corporate finance | 2013-03-28 | 2017-02-10 |
| BNP Paribas Capital (Asia Pacific) Limited 法國巴黎資本(亞太)有限公司 |
Rep | Type 6 — Advising on corporate finance | 2011-04-26 | 2016-12-31 |
| Macquarie Capital Limited 麥格理資本股份有限公司 |
Rep | Type 1 — Dealing in securities | 2010-07-23 | 2010-07-30 |
| Macquarie Capital Limited 麥格理資本股份有限公司 |
Rep | Type 6 — Advising on corporate finance | 2010-07-23 | 2010-07-30 |
| Macquarie Corporate (Hong Kong) Limited | Rep | Type 6 — Advising on corporate finance | 2010-07-23 | 2010-07-30 |
| Macquarie Capital Limited 麥格理資本股份有限公司 |
RO | Type 1 — Dealing in securities | 2009-01-08 | 2010-07-23 |
| Macquarie Capital Limited 麥格理資本股份有限公司 |
RO | Type 6 — Advising on corporate finance | 2009-01-08 | 2010-07-23 |
| Macquarie Corporate (Hong Kong) Limited | RO | Type 6 — Advising on corporate finance | 2009-01-08 | 2010-07-23 |
| Macquarie Capital Limited 麥格理資本股份有限公司 |
Rep | Type 1 — Dealing in securities | 2005-08-24 | 2009-01-08 |
| Macquarie Capital Limited 麥格理資本股份有限公司 |
Rep | Type 6 — Advising on corporate finance | 2005-08-24 | 2009-01-08 |
| Macquarie Corporate (Hong Kong) Limited | Rep | Type 6 — Advising on corporate finance | 2005-08-24 | 2009-01-08 |
| RBS Asia Corporate Finance Limited 蘇皇融資亞洲有限公司 |
Rep | Type 1 — Dealing in securities | 2004-12-02 | 2005-06-06 |
| RBS Asia Corporate Finance Limited 蘇皇融資亞洲有限公司 |
Rep | Type 6 — Advising on corporate finance | 2004-12-02 | 2005-06-06 |
| Fox-Pitt, Kelton (Asia) Limited | RO | Type 6 — Advising on corporate finance | present | 2004-09-12 |