Rosa, David John (SFC:AHA551)
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 | BRIDGEWAY PRIME SHOP FUND MANAGEMENT LIMITED | RO | Advising on securities | 2013-09-06 | 2019-05-01 | RO | Asset management | 2013-09-06 | 2019-05-01 | RO | Dealing in securities | 2015-10-30 | 2019-05-01 |
| 2 | Citigroup Global Markets Asia Limited | Rep | Advising on corporate finance | 2003-10-13 | Rep | Advising on securities | 2003-10-13 | Rep | Asset management | 2003-10-13 | Rep | Automated trading services | 2003-10-13 | Rep | Dealing in securities | 2012-03-30 |
| 3 | CITIGROUP GLOBAL MARKETS HONG KONG FUTURES AND SECURITIES LIMITED | Rep | Advising on futures contracts | 2003-10-13 | Rep | Asset management | 2003-10-13 | Rep | Dealing in futures contracts | 2012-03-30 |
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