Chow, Thomas 周少民
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 | AVANTA INVESTMENT MANAGEMENT LIMITED | RO | Advising on securities | 2020-03-13 | 2022-02-21 | RO | Asset management | 2020-03-13 | 2022-02-21 |
| 2 | Citigroup Global Markets Asia Limited | Rep | Advising on securities | 2004-06-09 | Rep | Asset management | 2004-06-09 | Rep | Automated trading services | 2004-06-09 | Rep | Advising on corporate finance | 2005-03-18 | Rep | Dealing in securities | 2005-03-18 |
| 3 | CITIGROUP GLOBAL MARKETS HONG KONG FUTURES AND SECURITIES LIMITED | Rep | Dealing in securities | 2004-07-08 | 2005-03-18 |
| 4 | DEUTSCHE SECURITIES ASIA LIMITED | Rep | Dealing in securities | 2006-04-24 | 2008-08-30 |
| 5 | GOLDMAN SACHS (ASIA) L.L.C. | Rep | Dealing in securities | 2008-09-09 | 2010-02-12 |
| 6 | GOLDMAN SACHS FUTURES (ASIA) LIMITED | Rep | Dealing in futures contracts | 2008-10-20 | 2010-02-12 |
| 7 | Great Wall Pan Asia Asset Management Limited | Rep | Advising on securities | 2014-08-12 | 2015-02-10 | Rep | Asset management | 2014-08-12 | 2015-02-10 | Rep | Advising on securities | 2015-04-28 | 2018-10-12 | Rep | Asset management | 2015-04-28 | 2018-10-12 |
| 8 | Soul Ventures Investment Limited | RO | Asset management | 2022-03-11 | 2022-12-14 |
| 9 | SPARC CAPITAL MANAGEMENT LIMITED | Rep | Asset management | 2023-03-02 | 2023-03-03 | RO | Advising on securities | 2023-03-03 | 2023-11-30 | RO | Asset management | 2023-03-03 | 2023-11-30 |
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