Cowperthwaite, Adam Aaron
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 | Citigroup Global Markets Asia Limited | Rep | Dealing in futures contracts | 2014-04-16 | 2020-01-31 | Rep | Dealing in securities | 2014-04-16 | 2020-01-31 | Rep | Advising on securities | 2017-07-03 | 2020-01-31 |
| 2 | Credit Suisse (Hong Kong) Limited | Rep | Dealing in securities | 2003-08-20 | 2009-03-30 | Rep | Automated trading services | 2008-11-06 | 2009-03-30 | Rep | Dealing in futures contracts | 2008-11-06 | 2009-03-30 |
| 3 | Credit Suisse Futures (Hong Kong) Limited | Rep | Dealing in futures contracts | 2003-08-20 | 2008-11-24 | Rep | Automated trading services | 2005-04-14 | 2008-11-24 |
| 4 | Daiwa Capital Markets Hong Kong Limited | Rep | Dealing in futures contracts | 2010-02-09 | 2011-09-03 | Rep | Dealing in securities | 2010-02-09 | 2011-09-03 |
| 5 | DAIWA CAPITAL MARKETS TRADING HONG KONG LIMITED | Rep | Dealing in futures contracts | 2010-11-20 | 2011-09-03 | Rep | Dealing in securities | 2010-11-20 | 2011-09-03 |
| 6 | J.P. MORGAN BROKING (HONG KONG) LIMITED | Rep | Advising on corporate finance | 2003-07-18 | Rep | Advising on securities | 2003-07-18 | Rep | Asset management | 2003-07-18 | Rep | Automated trading services | 2003-07-18 | Rep | Dealing in securities | 2003-07-18 |
| 7 | J.P. MORGAN FUTURES HONG KONG LIMITED | Rep | Advising on futures contracts | 2003-07-18 | Rep | Asset management | 2003-07-18 | Rep | Automated trading services | 2003-07-18 | Rep | Dealing in futures contracts | 2003-07-18 |
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