Alister Grahame Moss
This page summarises the Hong Kong Securities and Futures Commission (SFC) public register record for Alister Grahame Moss, a licensed Responsible Officer with CE reference AIR657. Currently licensed at 1 firm(s): Nomura International (Hong Kong) Limited. Active regulated activities: Type 1 — Dealing in securities; Type 4 — Advising on securities; Type 6 — Advising on corporate finance. Total licence records on file: 20.
More firms doing Dealing in securities →More firms doing Advising on securities →More firms doing Advising on corporate finance →
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 | 2024-05-20 | present |
| Nomura International (Hong Kong) Limited 野村國際(香港)有限公司 |
RO | Type 4 — Advising on securities | 2024-05-20 | present |
| Nomura International (Hong Kong) Limited 野村國際(香港)有限公司 |
RO | Type 6 — Advising on corporate finance | 2024-05-20 | present |
| Nomura International (Hong Kong) Limited 野村國際(香港)有限公司 |
Rep | Type 1 — Dealing in securities | 2015-11-02 | 2024-05-20 |
| Nomura International (Hong Kong) Limited 野村國際(香港)有限公司 |
Rep | Type 4 — Advising on securities | 2015-11-02 | 2024-05-20 |
| Nomura International (Hong Kong) Limited 野村國際(香港)有限公司 |
Rep | Type 6 — Advising on corporate finance | 2015-11-02 | 2024-05-20 |
| Credit Suisse (Hong Kong) Limited 瑞士信貸(香港)有限公司 |
RO | Type 7 — Providing automated trading services | 2010-11-24 | 2012-11-17 |
| Credit Suisse (Hong Kong) Limited 瑞士信貸(香港)有限公司 |
RO | Type 1 — Dealing in securities | 2007-04-13 | 2012-11-17 |
| Credit Suisse (Hong Kong) Limited 瑞士信貸(香港)有限公司 |
RO | Type 4 — Advising on securities | 2007-04-13 | 2012-11-17 |
| Credit Suisse (Hong Kong) Limited 瑞士信貸(香港)有限公司 |
RO | Type 6 — Advising on corporate finance | 2007-04-13 | 2012-07-23 |
| Credit Suisse (Hong Kong) Limited 瑞士信貸(香港)有限公司 |
Rep | Type 1 — Dealing in securities | 2006-09-26 | 2007-04-13 |
| Credit Suisse (Hong Kong) Limited 瑞士信貸(香港)有限公司 |
Rep | Type 4 — Advising on securities | 2006-09-26 | 2007-04-13 |
| Credit Suisse (Hong Kong) Limited 瑞士信貸(香港)有限公司 |
Rep | Type 6 — Advising on corporate finance | 2006-09-22 | 2007-04-13 |
| Credit Suisse (Hong Kong) Limited 瑞士信貸(香港)有限公司 |
RO | Type 1 — Dealing in securities | 2006-02-14 | 2006-09-26 |
| Credit Suisse (Hong Kong) Limited 瑞士信貸(香港)有限公司 |
RO | Type 4 — Advising on securities | 2006-02-14 | 2006-09-26 |
| Credit Suisse (Hong Kong) Limited 瑞士信貸(香港)有限公司 |
RO | Type 6 — Advising on corporate finance | 2006-02-14 | 2006-09-22 |
| Credit Suisse (Hong Kong) Limited 瑞士信貸(香港)有限公司 |
Rep | Type 4 — Advising on securities | 2005-04-19 | 2006-02-14 |
| Credit Suisse (Hong Kong) Limited 瑞士信貸(香港)有限公司 |
Rep | Type 6 — Advising on corporate finance | 2005-04-19 | 2006-02-14 |
| Credit Suisse (Hong Kong) Limited 瑞士信貸(香港)有限公司 |
Rep | Type 1 — Dealing in securities | present | 2006-02-14 |
| Credit Suisse (Hong Kong) Limited 瑞士信貸(香港)有限公司 |
Rep | Type 7 — Providing automated trading services | present | 2003-08-22 |