Glasgow, Fraser John
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 | Astrum Capital Management Limited (HK) | Rep | Dealing in securities | 2013-08-07 | 2015-03-09 |
| 2 | MIRABAUD (ASIA) LIMITED | Rep | Advising on securities | 2009-06-03 | 2012-04-27 | Rep | Dealing in securities | 2009-06-03 | 2012-04-27 |
| 3 | Opus Capital Limited (HK) | Rep | Dealing in securities | 2015-03-18 | 2019-08-11 |
| 4 | PIPER JAFFRAY ASIA SECURITIES LIMITED | Rep | Advising on securities | 2004-03-03 | 2006-06-24 | Rep | Dealing in securities | 2004-03-03 | 2006-06-24 |
| 5 | RHB SECURITIES HONG KONG LIMITED | Rep | Dealing in securities | 2006-07-26 | 2009-05-22 | Rep | Advising on securities | 2007-03-27 | 2009-05-22 |
| 6 | UOB KAY HIAN (HONG KONG) LIMITED | Rep | Advising on corporate finance | 2004-02-06 | Rep | Advising on securities | 2004-02-06 | Rep | Dealing in securities | 2004-02-06 |
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