Swarbrick, Andrew Jeremy
SFC licenses
Rep=Representative, RO=Responsible Officer. A person without a starting date was in that role since at least 1-Apr-2003 when the current register began.
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| Organisation | Role | Activity | From | Until | |
|---|---|---|---|---|---|
| 1 | CLSA LIMITED | Rep | Dealing in securities | 2019-03-18 | 2022-12-14 |
| 2 | GIGA (HONG KONG) LIMITED | Rep | Advising on securities | 2007-05-07 | 2009-10-05 | Rep | Asset management | 2007-06-11 | 2009-10-05 |
| 3 | HSBC SECURITIES BROKERS (ASIA) LIMITED | Rep | Dealing in securities | 2009-12-14 | 2017-08-26 |
| 4 | J.P. MORGAN BROKING (HONG KONG) LIMITED | Rep | Advising on corporate finance | 2003-09-13 | Rep | Asset management | 2003-09-13 | Rep | Automated trading services | 2003-09-13 | Rep | Advising on securities | 2007-02-08 | Rep | Dealing in securities | 2007-02-08 | Rep | Advising on futures contracts | 2003-12-06 | 2007-02-08 | Rep | Dealing in futures contracts | 2003-12-06 | 2007-02-08 |
| 5 | J.P. MORGAN FUTURES HONG KONG LIMITED | Rep | Asset management | 2003-09-13 | Rep | Automated trading services | 2003-09-13 | Rep | Advising on futures contracts | 2003-12-06 | Rep | Dealing in futures contracts | 2003-12-06 |
| 6 | J.P. MORGAN SECURITIES (FAR EAST) LIMITED | Rep | Advising on corporate finance | 2003-09-13 | Rep | Automated trading services | 2005-02-15 | Rep | Dealing in securities | 2007-02-08 | Rep | Advising on securities | 2003-09-17 | 2007-02-08 |
| 7 | NOMURA INTERNATIONAL (HONG KONG) LIMITED | Rep | Dealing in securities | 2017-11-20 | 2019-01-29 | Rep | Dealing in futures contracts | 2017-12-27 | 2019-01-29 |
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