Newman, Neil Lionel
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 | BTIG Hong Kong Limited | Rep | Dealing in securities | 2011-11-07 | 2012-09-03 |
| 2 | HAITONG INTERNATIONAL RESEARCH LIMITED | Rep | Advising on securities | 2018-12-05 | 2019-08-09 |
| 3 | LOUIS CAPITAL MARKETS (HONG KONG) LIMITED | Rep | Advising on securities | 2013-06-03 | 2014-06-26 | Rep | Dealing in securities | 2013-06-03 | 2014-06-26 |
| 4 | MF Global Hong Kong Limited | Rep | Advising on securities | 2010-10-11 | 2011-09-14 | Rep | Dealing in securities | 2010-10-11 | 2011-09-14 |
| 5 | MIRABAUD (ASIA) LIMITED | Rep | Advising on securities | 2009-07-13 | 2010-02-28 | Rep | Dealing in securities | 2009-07-13 | 2010-02-28 |
| 6 | Oppenheimer Investments Asia Limited | Rep | Dealing in securities | 2012-09-19 | 2013-02-18 |
| 7 | SENRIGAN CAPITAL GROUP LIMITED | Rep | Asset management | 2010-03-12 | 2010-05-03 | RO | Asset management | 2010-05-03 | 2010-08-26 | Rep | Asset management | 2020-05-08 | 2020-05-15 | RO | Asset management | 2020-05-15 | 2020-11-25 |
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