SFC Licences of SPARROW Nicholas Charles
Source:
Official SFC record
Key: RE = Representative, RO = Responsible Officer, EO = Executive Officer
Institution | Role | Licences | Start date | End date |
---|---|---|---|---|
Vantage Capital Markets HK Limited | RE | 2 | 27 November 2015 | 26 January 2018 |
Vantage Capital Markets HK Limited | RE | 1 | 27 November 2015 | 26 January 2018 |
De Riva Asia Limited | RE | 2 | 17 February 2014 | 27 November 2015 |
De Riva Asia Limited | RE | 1 | 17 February 2014 | 27 November 2015 |
GFI (HK) Securities L.L.C. | RE | 7 | 05 July 2010 | 19 April 2013 |
GFI (HK) Securities L.L.C. | RE | 1 | 05 July 2010 | 19 April 2013 |
ICAP Securities Hong Kong Limited | RE | 2 | 21 November 2005 | 19 June 2009 |
ICAP Securities Hong Kong Limited | RE | 1 | 21 November 2005 | 19 June 2009 |
KGI Asia Limited 凱基證券亞洲有限公司 | RE | 1 | 01 April 2003 | 03 March 2005 |
KGI Futures (Hong Kong) Limited 凱基期貨(香港)有限公司 | RE | 2 | 01 April 2003 | 03 March 2005 |
KGI Securities (Hong Kong) Limited 凱基證券(香港)有限公司 | RE | 1 | 01 April 2003 | 03 March 2005 |
KGI Futures (Hong Kong) Limited 凱基期貨(香港)有限公司 | RE | 5 | 01 April 2003 | 02 June 2004 |
KGI Securities (Hong Kong) Limited 凱基證券(香港)有限公司 | RE | 6 | 01 April 2003 | 02 June 2004 |
KGI Securities (Hong Kong) Limited 凱基證券(香港)有限公司 | RE | 9 | 01 April 2003 | 02 June 2004 |
KGI Asia Limited 凱基證券亞洲有限公司 | RE | 4 | 01 April 2003 | 02 June 2004 |
KGI Asia Limited 凱基證券亞洲有限公司 | RE | 6 | 01 April 2003 | 02 June 2004 |
KGI Securities (Hong Kong) Limited 凱基證券(香港)有限公司 | RE | 4 | 01 April 2003 | 02 June 2004 |
KGI Futures (Hong Kong) Limited 凱基期貨(香港)有限公司 | RE | 9 | 01 April 2003 | 02 June 2004 |
KGI Asia Limited 凱基證券亞洲有限公司 | RE | 9 | 01 April 2003 | 02 June 2004 |
KGI Securities (Hong Kong) Limited 凱基證券(香港)有限公司 | RE | 7 | 01 April 2003 | 21 July 2003 |