Ria Therese Nova
This page summarises the Hong Kong Securities and Futures Commission (SFC) public register record for Ria Therese Nova ( ), a licensed former licensee with CE reference APR251. Total licence records on file: 8.
Licence history
| Firm | Role | Regulated activity | From | To |
|---|---|---|---|---|
| Neuberger Berman Asia Limited | RO | Type 1 — Dealing in securities | 2011-08-29 | 2014-12-31 |
| Neuberger Berman Asia Limited | RO | Type 4 — Advising on securities | 2011-08-29 | 2014-12-31 |
| Neuberger Berman Asia Limited | RO | Type 9 — Asset management | 2011-08-29 | 2014-12-31 |
| Neuberger Berman Asia Limited | Rep | Type 1 — Dealing in securities | 2008-04-23 | 2011-08-29 |
| Neuberger Berman Asia Limited | Rep | Type 4 — Advising on securities | 2008-04-23 | 2011-08-29 |
| Neuberger Berman Asia Limited | Rep | Type 9 — Asset management | 2008-04-23 | 2011-08-29 |
| Lehman Brothers Asia Limited 美國雷曼兄弟亞洲投資有限公司 |
Rep | Type 1 — Dealing in securities | 2007-09-24 | 2008-03-20 |
| Lehman Brothers Asia Limited 美國雷曼兄弟亞洲投資有限公司 |
Rep | Type 4 — Advising on securities | 2007-09-24 | 2008-03-20 |