Sarkis, David
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 | Credit Agricole Securities (Asia) Limited | Rep | Dealing in securities | 2006-05-10 | 2007-11-01 | RO | Dealing in securities | 2007-11-01 | 2008-12-01 |
| 2 | Daiwa Capital Markets Hong Kong Limited | Rep | Advising on securities | 2010-02-12 | 2010-04-21 | Rep | Dealing in securities | 2010-02-12 | 2010-04-21 | Rep | Dealing in futures contracts | 2010-02-12 | 2012-03-22 | RO | Advising on securities | 2010-04-21 | 2012-03-22 | RO | Dealing in securities | 2010-04-21 | 2012-03-22 |
| 3 | DAIWA CAPITAL MARKETS TRADING HONG KONG LIMITED | Rep | Dealing in futures contracts | 2010-11-20 | 2012-03-22 | Rep | Dealing in securities | 2010-11-20 | 2012-03-22 |
| 4 | DEUTSCHE SECURITIES ASIA LIMITED | Rep | Dealing in securities | 2004-03-05 | 2004-06-01 | RO | Dealing in securities | 2004-06-01 | 2005-01-10 | RO | Advising on futures contracts | 2004-06-01 | 2005-07-07 | RO | Dealing in futures contracts | 2004-06-01 | 2005-07-07 | Rep | Dealing in securities | 2005-01-10 | 2005-07-07 |
| 5 | EFG Asset Management (HK) Limited | Rep | Advising on securities | 2008-12-15 | 2009-02-06 | Rep | Asset management | 2008-12-15 | 2009-02-06 | RO | Advising on securities | 2009-02-06 | 2009-11-11 | RO | Asset management | 2009-02-06 | 2009-11-11 |
| 6 | Everbright Capital Management Limited | Rep | Advising on securities | 2012-07-05 | 2013-09-10 | Rep | Asset management | 2012-07-05 | 2013-09-10 |
| 7 | RBS Asia Futures Limited | Rep | Dealing in futures contracts | 2006-05-10 | 2008-12-01 |
| 8 | Shangding International Asset Management Company Limited | Rep | Asset management | 2016-04-26 | 2016-07-08 | RO | Asset management | 2016-07-08 | 2023-10-20 |
| 9 | Standard Chartered Securities (Hong Kong) Limited | Rep | Advising on futures contracts | 2014-03-26 | 2015-06-27 | Rep | Advising on securities | 2014-03-26 | 2015-06-27 | Rep | Dealing in futures contracts | 2014-03-26 | 2015-06-27 | Rep | Dealing in securities | 2014-03-26 | 2015-06-27 |
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