Sparrow, Richard Aelred
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 FUTURES (HONG KONG) LIMITED | Rep | Dealing in futures contracts | 2010-05-20 | 2011-12-30 |
| 2 | BNP PARIBAS SECURITIES (ASIA) LIMITED | Rep | Automated trading services | 2010-04-20 | 2013-09-16 | Rep | Dealing in securities | 2010-04-20 | 2013-09-16 | Rep | Dealing in futures contracts | 2011-09-15 | 2013-09-16 |
| 3 | Citigroup Global Markets Asia Limited | Rep | Advising on corporate finance | 2003-10-10 | Rep | Advising on securities | 2003-10-10 | Rep | Asset management | 2003-10-10 | Rep | Automated trading services | 2003-10-10 | Rep | Dealing in securities | 2007-08-01 |
| 4 | CITIGROUP GLOBAL MARKETS HONG KONG FUTURES AND SECURITIES LIMITED | Rep | Advising on futures contracts | 2003-10-10 | Rep | Asset management | 2003-10-10 | Rep | Dealing in futures contracts | 2007-08-01 | Rep | Dealing in securities | 2003-10-17 | 2007-08-01 |
| 5 | Credit Suisse (Hong Kong) Limited | Rep | Dealing in futures contracts | 2019-01-16 | 2023-06-23 | Rep | Dealing in securities | 2019-01-16 | 2023-06-23 |
| 6 | Credit Suisse Securities (Hong Kong) Limited | Rep | Automated trading services | 2019-01-16 | 2023-06-23 | Rep | Dealing in securities | 2019-01-16 | 2023-06-23 |
| 7 | Jefferies Hong Kong Limited | Rep | Dealing in securities | 2023-09-05 | |
| 8 | MACQUARIE CAPITAL LIMITED | Rep | Automated trading services | 2015-03-23 | 2018-08-27 | Rep | Dealing in securities | 2015-03-23 | 2018-08-27 |
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