SFC Licences of ROYDS Thomas Alexander

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

Institution Role Licences Start date End date
Lloyd George Management (HK) Limited RO 9 14 April 2015 01 November 2023
Ballingal Investment Advisors Limited RO 5 24 April 2014 27 February 2015
Ballingal Investment Advisors Limited RE 5 25 February 2014 24 April 2014
Ballingal Investment Advisors Limited RO 9 15 June 2011 27 February 2015
Ballingal Investment Advisors Limited RO 4 15 June 2011 27 February 2015
Brooke Capital Limited RO 9 03 August 2009 12 July 2010
Brooke Capital Limited RO 4 03 August 2009 12 July 2010
Brooke Capital Limited RE 9 01 March 2007 03 August 2009
Brooke Capital Limited RE 4 01 March 2007 03 August 2009
Lehman Brothers Asia Limited 美國雷曼兄弟亞洲投資有限公司 RE 1 19 September 2006 08 February 2007
Credit Agricole Securities (Asia) Limited 東方匯理證券(亞洲)有限公司 RO 1 01 April 2003 06 June 2005
RBS Asia Securities (Hong Kong) Limited 蘇皇證券亞洲(香港)有限公司 RO 1 01 April 2003 08 February 2005
RBS Asia Securities (Hong Kong) Limited 蘇皇證券亞洲(香港)有限公司 RO 6 01 April 2003 24 September 2004
RBS Asia Securities (Hong Kong) Limited 蘇皇證券亞洲(香港)有限公司 RO 4 01 April 2003 24 September 2004
RBS Asia Securities (Hong Kong) Limited 蘇皇證券亞洲(香港)有限公司 RO 9 01 April 2003 24 September 2004
Credit Agricole Securities (Asia) Limited 東方匯理證券(亞洲)有限公司 RO 9 01 April 2003 24 September 2004
Credit Agricole Securities (Asia) Limited 東方匯理證券(亞洲)有限公司 RO 6 01 April 2003 24 September 2004
Credit Agricole Securities (Asia) Limited 東方匯理證券(亞洲)有限公司 RO 4 01 April 2003 24 September 2004