Sparrow, Nicholas Charles
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 | De Riva Asia Limited | Rep | Dealing in futures contracts | 2014-02-17 | 2015-11-27 | Rep | Dealing in securities | 2014-02-17 | 2015-11-27 |
| 2 | GFI (HK) SECURITIES L.L.C. | Rep | Automated trading services | 2010-07-05 | 2013-04-19 | Rep | Dealing in securities | 2010-07-05 | 2013-04-19 |
| 3 | ICAP Securities Hong Kong Limited | Rep | Dealing in futures contracts | 2005-11-21 | 2009-06-19 | Rep | Dealing in securities | 2005-11-21 | 2009-06-19 |
| 4 | KGI ASIA LIMITED | Rep | Advising on corporate finance | 2004-06-02 | Rep | Advising on securities | 2004-06-02 | Rep | Asset management | 2004-06-02 | Rep | Dealing in securities | 2005-03-03 |
| 5 | KGI FUTURES (HONG KONG) LIMITED | Rep | Advising on futures contracts | 2004-06-02 | Rep | Asset management | 2004-06-02 | Rep | Dealing in futures contracts | 2005-03-03 |
| 6 | KGI SECURITIES (HONG KONG) LIMITED | Rep | Automated trading services | 2003-07-21 | Rep | Advising on corporate finance | 2004-06-02 | Rep | Advising on securities | 2004-06-02 | Rep | Asset management | 2004-06-02 | Rep | Dealing in securities | 2005-03-03 |
| 7 | Vantage Capital Markets HK Limited | Rep | Dealing in futures contracts | 2015-11-27 | 2018-01-26 | Rep | Dealing in securities | 2015-11-27 | 2018-01-26 |
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