SFC Licences of SWARBRICK Andrew Jeremy
Source:
Official SFC record
Key: RE = Representative, RO = Responsible Officer, EO = Executive Officer
| Institution | Role | Licences | Start date | End date |
|---|---|---|---|---|
| CLSA Limited 中信里昂證券有限公司 | RE | 1 | 18 March 2019 | 14 December 2022 |
| Nomura International (Hong Kong) Limited 野村國際(香港)有限公司 | RE | 2 | 27 December 2017 | 29 January 2019 |
| Nomura International (Hong Kong) Limited 野村國際(香港)有限公司 | RE | 1 | 20 November 2017 | 29 January 2019 |
| HSBC Securities Brokers (Asia) Limited 滙豐證券經紀(亞洲)有限公司 | RE | 1 | 14 December 2009 | 26 August 2017 |
| Giga (Hong Kong) Limited | RE | 9 | 11 June 2007 | 05 October 2009 |
| Giga (Hong Kong) Limited | RE | 4 | 07 May 2007 | 05 October 2009 |
| J.P. Morgan Broking (Hong Kong) Limited | RE | 5 | 06 December 2003 | 08 February 2007 |
| J.P. Morgan Broking (Hong Kong) Limited | RE | 2 | 06 December 2003 | 08 February 2007 |
| J.P. Morgan Securities (Far East) Limited | RE | 4 | 17 September 2003 | 08 February 2007 |
| J.P. Morgan Securities (Far East) Limited | RE | 1 | 01 April 2003 | 08 February 2007 |
| J.P. Morgan Broking (Hong Kong) Limited | RE | 1 | 01 April 2003 | 08 February 2007 |
| J.P. Morgan Broking (Hong Kong) Limited | RE | 4 | 01 April 2003 | 08 February 2007 |
| J.P. Morgan Securities (Far East) Limited | RE | 7 | 01 April 2003 | 15 February 2005 |
| J.P. Morgan Futures Hong Kong Limited | RE | 2 | 01 April 2003 | 06 December 2003 |
| J.P. Morgan Futures Hong Kong Limited | RE | 5 | 01 April 2003 | 06 December 2003 |
| J.P. Morgan Broking (Hong Kong) Limited | RE | 7 | 01 April 2003 | 13 September 2003 |
| J.P. Morgan Securities (Far East) Limited | RE | 6 | 01 April 2003 | 13 September 2003 |
| J.P. Morgan Futures Hong Kong Limited | RE | 9 | 01 April 2003 | 13 September 2003 |
| J.P. Morgan Futures Hong Kong Limited | RE | 7 | 01 April 2003 | 13 September 2003 |
| J.P. Morgan Broking (Hong Kong) Limited | RE | 9 | 01 April 2003 | 13 September 2003 |
| J.P. Morgan Broking (Hong Kong) Limited | RE | 6 | 01 April 2003 | 13 September 2003 |