Royds, Thomas Alexander
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 | BALLINGAL INVESTMENT ADVISORS LIMITED | RO | Advising on securities | 2011-06-15 | 2015-02-27 | RO | Asset management | 2011-06-15 | 2015-02-27 | Rep | Advising on futures contracts | 2014-02-25 | 2014-04-24 | RO | Advising on futures contracts | 2014-04-24 | 2015-02-27 |
| 2 | BROOKE CAPITAL LIMITED | Rep | Advising on securities | 2007-03-01 | 2009-08-03 | Rep | Asset management | 2007-03-01 | 2009-08-03 | RO | Advising on securities | 2009-08-03 | 2010-07-12 | RO | Asset management | 2009-08-03 | 2010-07-12 |
| 3 | Credit Agricole Securities (Asia) Limited | RO | Advising on corporate finance | 2004-09-24 | RO | Advising on securities | 2004-09-24 | RO | Asset management | 2004-09-24 | RO | Dealing in securities | 2005-06-06 |
| 4 | LEHMAN BROTHERS ASIA LIMITED | Rep | Dealing in securities | 2006-09-19 | 2007-02-08 |
| 5 | LLOYD GEORGE MANAGEMENT (HK) LIMITED | RO | Asset management | 2015-04-14 | 2023-11-01 |
| 6 | RBS Asia Securities (Hong Kong) Limited | RO | Advising on corporate finance | 2004-09-24 | RO | Advising on securities | 2004-09-24 | RO | Asset management | 2004-09-24 | RO | Dealing in securities | 2005-02-08 |
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