Cynthia Nicot
This page summarises the Hong Kong Securities and Futures Commission (SFC) public register record for Cynthia Nicot ( ), a licensed former licensee with CE reference APJ348. Total licence records on file: 13.
Licence history
| Firm | Role | Regulated activity | From | To |
|---|---|---|---|---|
| Credit Suisse (Hong Kong) Limited 瑞士信貸(香港)有限公司 |
Rep | Type 1 — Dealing in securities | 2016-05-30 | 2016-10-27 |
| Newedge Broker Limited 新際經紀有限公司 |
Rep | Type 7 — Providing automated trading services | 2008-12-18 | 2009-07-31 |
| SG Asset Finance (Hong Kong) Limited | Rep | Type 1 — Dealing in securities | 2008-12-11 | 2009-10-30 |
| Newedge Broker Limited 新際經紀有限公司 |
Rep | Type 1 — Dealing in securities | 2008-12-11 | 2009-07-31 |
| Newedge Broker Hong Kong Limited 新際經紀香港有限公司 |
Rep | Type 2 — Dealing in futures contracts | 2008-12-11 | 2009-10-30 |
| SG Asset Finance (Hong Kong) Limited | Rep | Type 2 — Dealing in futures contracts | 2008-12-11 | 2009-10-30 |
| Newedge Broker Limited 新際經紀有限公司 |
Rep | Type 2 — Dealing in futures contracts | 2008-12-11 | 2009-07-31 |
| Nomura International (Hong Kong) Limited 野村國際(香港)有限公司 |
Rep | Type 1 — Dealing in securities | 2008-10-10 | 2008-11-07 |
| 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 | 2008-11-07 |
| Lehman Brothers Asia Limited 美國雷曼兄弟亞洲投資有限公司 |
Rep | Type 1 — Dealing in securities | 2007-08-03 | 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 | 2007-08-03 | 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 | 2007-08-03 | 2008-09-29 |
| Lehman Brothers Futures Asia Limited |
Rep | Type 2 — Dealing in futures contracts | 2007-08-03 | 2008-09-29 |