SFC Licences of SPARROW Richard Aelred

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

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