Sripunporn, Roger Ardisorn 潘小山

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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 SECURITIES (ASIA) LIMITED Rep Dealing in securities 2003-09-18
BOCI SECURITIES LIMITED Rep 2004-01-28 2005-11-07
Daiwa Capital Markets Hong Kong Limited Rep 2007-10-04 2008-01-05
GFI (HK) SECURITIES L.L.C. Rep 2010-01-04 2018-01-16
2 BNP PARIBAS PEREGRINE FUTURES LIMITED Rep Dealing in futures contracts 2003-09-18
BOCI COMMODITIES & FUTURES LIMITED Rep 2004-01-28 2005-11-07
BOCI SECURITIES LIMITED Rep 2005-10-13 2005-11-07
3 GFI (HK) SECURITIES L.L.C. Rep Automated trading services 2011-09-27 2018-01-16
4 BNP PARIBAS PEREGRINE FUTURES LIMITED Rep Asset management 2003-09-17
BNP PARIBAS SECURITIES (ASIA) LIMITED Rep 2003-09-17
5 BNP PARIBAS SECURITIES (ASIA) LIMITED Rep Advising on securities 2003-09-17
6 BNP PARIBAS PEREGRINE FUTURES LIMITED Rep Advising on futures contracts 2003-09-17
7 BNP PARIBAS SECURITIES (ASIA) LIMITED Rep Advising on corporate finance 2003-09-17

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