Sripunporn, Roger Ardisorn 潘小山
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 | BNP PARIBAS PEREGRINE FUTURES LIMITED | Rep | Advising on futures contracts | 2003-09-17 | Rep | Asset management | 2003-09-17 | Rep | Dealing in futures contracts | 2003-09-18 |
2 | BNP PARIBAS SECURITIES (ASIA) LIMITED | Rep | Advising on corporate finance | 2003-09-17 | Rep | Advising on securities | 2003-09-17 | Rep | Asset management | 2003-09-17 | Rep | Dealing in securities | 2003-09-18 |
3 | BOCI COMMODITIES & FUTURES LIMITED | Rep | Dealing in futures contracts | 2004-01-28 | 2005-11-07 |
4 | BOCI SECURITIES LIMITED | Rep | Dealing in securities | 2004-01-28 | 2005-11-07 | Rep | Dealing in futures contracts | 2005-10-13 | 2005-11-07 |
5 | Daiwa Capital Markets Hong Kong Limited | Rep | Dealing in securities | 2007-10-04 | 2008-01-05 |
6 | GFI (HK) SECURITIES L.L.C. | Rep | Dealing in securities | 2010-01-04 | 2018-01-16 | Rep | Automated trading services | 2011-09-27 | 2018-01-16 |
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