Kim, Susan Eun
SFC licenses
Rep=Representative, RO=Responsible Officer. A person without a starting date was in that role since at least 1-Apr-2003 when the current register began.
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| Organisation | Role | Activity | From | Until | |
|---|---|---|---|---|---|
| 1 | LEHMAN BROTHERS ASIA LIMITED | Rep | Dealing in futures contracts | 2008-08-14 | 2008-09-29 | Rep | Dealing in securities | 2008-08-14 | 2008-09-29 |
| 2 | LEHMAN BROTHERS FUTURES ASIA LIMITED | Rep | Dealing in futures contracts | 2008-08-14 | 2008-09-29 |
| 3 | LEHMAN BROTHERS SECURITIES ASIA LIMITED | Rep | Dealing in securities | 2008-08-14 | 2008-09-29 |
| 4 | NOMURA INTERNATIONAL (HONG KONG) LIMITED | Rep | Dealing in futures contracts | 2008-10-10 | 2013-03-30 | Rep | Dealing in securities | 2008-10-10 | 2013-03-30 |
| 5 | UBS SECURITIES ASIA LIMITED | Rep | Advising on corporate finance | 2005-03-03 | Rep | Advising on securities | 2005-03-03 | Rep | Asset management | 2005-03-03 | Rep | Dealing in securities | 2008-05-07 | Rep | Dealing in futures contracts | 2005-03-31 | 2008-05-07 |
| 6 | UBS SECURITIES HONG KONG LIMITED | Rep | Dealing in securities | 2006-12-14 | 2008-05-07 |
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