Susan Eun Kim
This page summarises the Hong Kong Securities and Futures Commission (SFC) public register record for Susan Eun Kim ( ), a licensed former licensee with CE reference AIB938. Total licence records on file: 12.
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 | 2008-10-10 | 2013-03-30 |
| Nomura International (Hong Kong) Limited 野村國際(香港)有限公司 |
Rep | Type 2 — Dealing in futures contracts | 2008-10-10 | 2013-03-30 |
| Lehman Brothers Asia Limited 美國雷曼兄弟亞洲投資有限公司 |
Rep | Type 1 — Dealing in securities | 2008-08-14 | 2008-09-29 |
| 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 | 2008-08-14 | 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 | 2008-08-14 | 2008-09-29 |
| Lehman Brothers Futures Asia Limited |
Rep | Type 2 — Dealing in futures contracts | 2008-08-14 | 2008-09-29 |
| UBS Securities Hong Kong Limited | Rep | Type 1 — Dealing in securities | 2006-12-14 | 2008-05-07 |
| UBS Securities Asia Limited | Rep | Type 2 — Dealing in futures contracts | 2005-03-31 | 2008-05-07 |
| UBS Securities Asia Limited | Rep | Type 1 — Dealing in securities | present | 2008-05-07 |
| UBS Securities Asia Limited | Rep | Type 4 — Advising on securities | present | 2005-03-03 |
| UBS Securities Asia Limited | Rep | Type 6 — Advising on corporate finance | present | 2005-03-03 |
| UBS Securities Asia Limited | Rep | Type 9 — Asset management | present | 2005-03-03 |