SFC Licences of THOMPSON Nicholas James Creer

Source: Official SFC record
Key: RE = Representative, RO = Responsible Officer, EO = Executive Officer

Institution Role Licences Start date End date
HSBC Securities Brokers (Asia) Limited 滙豐證券經紀(亞洲)有限公司 RE 1 20 May 2022
Asia Alternative Asset Partners Limited RE 1 10 March 2009 27 October 2009
Macquarie Capital Limited 麥格理資本股份有限公司 RE 1 11 August 2008 26 November 2008
Macquarie Equities (Asia) Limited 麥格理證券(亞洲)有限公司 RE 1 19 July 2004 26 November 2008
AXA Rosenberg Investment Management Asia Pacific Limited (trading as AXA Rosenberg Asia Pacific; AXA Investment Managers) 安盛羅森堡投資管理亞太有限公司 (以AXA Rosenberg Asia Pacific; AXA Investment Managers名義經營業務) RE 4 01 April 2003 01 April 2004
AXA Rosenberg Investment Management Asia Pacific Limited (trading as AXA Rosenberg Asia Pacific; AXA Investment Managers) 安盛羅森堡投資管理亞太有限公司 (以AXA Rosenberg Asia Pacific; AXA Investment Managers名義經營業務) RE 6 01 April 2003 01 April 2004
AXA Rosenberg Investment Management Asia Pacific Limited (trading as AXA Rosenberg Asia Pacific; AXA Investment Managers) 安盛羅森堡投資管理亞太有限公司 (以AXA Rosenberg Asia Pacific; AXA Investment Managers名義經營業務) RE 9 01 April 2003 01 April 2004