SFC licenceholder AFK790 SPARROW Richard Aelred

Licences

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

Updated: 22 September 2020

Institution Role Licences Start date End date
Credit Suisse (Hong Kong) Limited 瑞士信貸(香港)有限公司 RE [1] (Dealing in Securities), [2] (Dealing in Futures Contracts) 16 January 2019
Credit Suisse Securities (Hong Kong) Limited 瑞士信貸證券(香港)有限公司 RE [1] (Dealing in Securities), [7] (Providing Automated Trading Services) 16 January 2019
Macquarie Capital Limited 麥格理資本股份有限公司 RE [1] (Dealing in Securities), [7] (Providing Automated Trading Services) 23 March 2015 27 August 2018
BNP Paribas Securities (Asia) Limited 法國巴黎證券(亞洲)有限公司 RE [2] (Dealing in Futures Contracts) 15 September 2011 16 September 2013
BNP Paribas Futures (Hong Kong) Limited 法國巴黎期貨(香港)有限公司 RE [2] (Dealing in Futures Contracts) 20 May 2010 30 December 2011
BNP Paribas Securities (Asia) Limited 法國巴黎證券(亞洲)有限公司 RE [1] (Dealing in Securities), [7] (Providing Automated Trading Services) 20 April 2010 16 September 2013
Citigroup Global Markets Hong Kong Futures and Securities Limited RE [1] (Dealing in Securities) 17 October 2003 01 August 2007
Citigroup Global Markets Asia Limited 花旗環球金融亞洲有限公司 RE [1] (Dealing in Securities) 01 April 2003 01 August 2007
Citigroup Global Markets Hong Kong Futures and Securities Limited RE [2] (Dealing in Futures Contracts) 01 April 2003 01 August 2007
Citigroup Global Markets Asia Limited 花旗環球金融亞洲有限公司 RE [4] (Advising on Securities), [6] (Advising on Corporate Finance), [7] (Providing Automated Trading Services), [9] (Asset Management) 01 April 2003 10 October 2003
Citigroup Global Markets Hong Kong Futures and Securities Limited RE [5] (Advising on Futures Contracts), [9] (Asset Management) 01 April 2003 10 October 2003