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
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 Broking (Hong Kong) Limited RE 1 01 April 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 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 6 01 April 2003 13 September 2003
J.P. Morgan Securities (Far East) Limited RE 6 01 April 2003 13 September 2003
J.P. Morgan Broking (Hong Kong) Limited RE 7 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 Futures Hong Kong Limited RE 9 01 April 2003 13 September 2003