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

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