Forrest, Richard William
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 | ICAP Securities Hong Kong Limited | Rep | Dealing in futures contracts | 2024-04-02 | Rep | Dealing in securities | 2024-04-02 |
2 | KGI ASIA LIMITED | Rep | Dealing in securities | 2006-01-03 | 2006-03-29 | Rep | Dealing in securities | 2015-03-10 | 2017-10-02 | Rep | Dealing in securities | 2017-10-03 | 2020-02-01 |
3 | KGI FUTURES (HONG KONG) LIMITED | Rep | Dealing in futures contracts | 2006-01-03 | 2006-03-29 | Rep | Dealing in futures contracts | 2015-03-10 | 2016-10-07 | RO | Dealing in futures contracts | 2016-10-07 | 2020-02-01 |
4 | KGI SECURITIES (HONG KONG) LIMITED | Rep | Dealing in securities | 2006-01-03 | 2006-03-29 |
5 | MF Global Hong Kong Limited | Rep | Dealing in futures contracts | 2009-03-26 | 2011-11-10 | Rep | Dealing in securities | 2009-03-26 | 2011-11-10 |
6 | Newedge Broker Hong Kong Limited | Rep | Dealing in futures contracts | 2008-03-17 | 2009-03-16 |
7 | Newedge Broker Limited | Rep | Dealing in futures contracts | 2006-05-22 | 2009-03-16 | Rep | Dealing in securities | 2006-05-22 | 2009-03-16 | Rep | Automated trading services | 2006-05-24 | 2009-03-16 |
8 | Qantex Capital Markets Limited | Rep | Dealing in futures contracts | 2020-06-15 | 2020-08-19 | Rep | Dealing in securities | 2020-06-15 | 2021-11-16 | RO | Dealing in futures contracts | 2020-08-19 | 2024-01-01 | RO | Dealing in securities | 2021-11-16 | 2024-01-01 |
9 | SG Asset Finance (Hong Kong) Limited | Rep | Dealing in futures contracts | 2008-10-13 | 2009-03-16 | Rep | Dealing in securities | 2008-10-13 | 2009-03-16 |
10 | T.F.S. Derivatives HK Limited | Rep | Dealing in futures contracts | 2012-01-03 | 2014-11-30 | Rep | Dealing in securities | 2012-01-03 | 2014-11-30 |
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