SFC Licences of PRESCOTT Lewis Edward
Source:
Official SFC record
Key: RE = Representative, RO = Responsible Officer, EO = Executive Officer
Institution | Role | Licences | Start date | End date |
---|---|---|---|---|
Citadel Asia Limited | RO | 9 | 14 August 2023 | |
Mingshi Investment Management Limited | RO | 9 | 16 September 2021 | 01 October 2022 |
OP Investment Management Limited 東英投資管理有限公司 | RE | 9 | 13 March 2020 | 15 September 2021 |
Nezu Asia Capital Management Limited 根津亞洲資本管理有限公司 | RE | 9 | 12 September 2014 | 20 October 2018 |
Mizuho Securities Asia Limited 瑞穗證券亞洲有限公司 | RE | 4 | 29 July 2013 | 12 June 2014 |
Mizuho Securities Asia Limited 瑞穗證券亞洲有限公司 | RE | 1 | 29 July 2013 | 12 June 2014 |
Citigroup Global Markets Hong Kong Futures and Securities Limited | RE | 2 | 28 September 2010 | 15 November 2012 |
Citigroup Global Markets Asia Limited 花旗環球金融亞洲有限公司 | RE | 1 | 23 August 2010 | 15 November 2012 |
Deutsche Securities Asia Limited 德意志證券亞洲有限公司 | RE | 2 | 30 April 2007 | 21 April 2009 |
Deutsche Securities Asia Limited 德意志證券亞洲有限公司 | RE | 1 | 01 March 2007 | 21 April 2009 |