Thomas Gordon Batt
This page summarises the Hong Kong Securities and Futures Commission (SFC) public register record for Thomas Gordon Batt ( ), a licensed former licensee with CE reference AYP957. Total licence records on file: 7.
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 | 2020-10-09 | 2021-07-16 |
| Nomura International (Hong Kong) Limited 野村國際(香港)有限公司 |
RO | Type 4 — Advising on securities | 2020-10-09 | 2021-07-16 |
| Nomura International (Hong Kong) Limited 野村國際(香港)有限公司 |
RO | Type 6 — Advising on corporate finance | 2020-10-09 | 2021-07-16 |
| Nomura International (Hong Kong) Limited 野村國際(香港)有限公司 |
Rep | Type 1 — Dealing in securities | 2012-10-08 | 2020-10-09 |
| Nomura International (Hong Kong) Limited 野村國際(香港)有限公司 |
Rep | Type 4 — Advising on securities | 2012-10-08 | 2020-10-09 |
| Nomura International (Hong Kong) Limited 野村國際(香港)有限公司 |
Rep | Type 6 — Advising on corporate finance | 2012-10-08 | 2020-10-09 |
| UBS Securities Hong Kong Limited | Rep | Type 6 — Advising on corporate finance | 2012-06-07 | 2012-07-07 |