Hieu Tam Nguyen-Minh
This page summarises the Hong Kong Securities and Futures Commission (SFC) public register record for Hieu Tam Nguyen-Minh, a licensed Responsible Officer with CE reference ARB824. Currently licensed at 1 firm(s): Dragon Financial Partners Limited. Active regulated activities: Type 1 — Dealing in securities; Type 6 — Advising on corporate finance. Total licence records on file: 9.
Licence history
| Firm | Role | Regulated activity | From | To |
|---|---|---|---|---|
| Dragon Financial Partners Limited |
RO | Type 1 — Dealing in securities | 2016-11-28 | present |
| Dragon Financial Partners Limited |
RO | Type 6 — Advising on corporate finance | 2016-11-28 | present |
| Barclays Capital Asia Limited 巴克萊亞洲有限公司 |
Rep | Type 1 — Dealing in securities | 2009-11-03 | 2016-01-21 |
| Barclays Capital Asia Limited 巴克萊亞洲有限公司 |
Rep | Type 4 — Advising on securities | 2009-10-12 | 2016-01-21 |
| Barclays Capital Asia Limited 巴克萊亞洲有限公司 |
Rep | Type 6 — Advising on corporate finance | 2009-10-12 | 2016-01-21 |
| Nomura International (Hong Kong) Limited 野村國際(香港)有限公司 |
Rep | Type 4 — Advising on securities | 2008-10-10 | 2009-08-25 |
| Nomura International (Hong Kong) Limited 野村國際(香港)有限公司 |
Rep | Type 6 — Advising on corporate finance | 2008-10-10 | 2009-08-25 |
| Lehman Brothers Asia Limited 美國雷曼兄弟亞洲投資有限公司 |
Rep | Type 4 — Advising on securities | 2008-06-05 | 2008-09-29 |
| Lehman Brothers Asia Limited 美國雷曼兄弟亞洲投資有限公司 |
Rep | Type 6 — Advising on corporate finance | 2008-06-05 | 2008-09-29 |