Sparrow, Nicholas Charles

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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 De Riva Asia Limited Rep Dealing in futures contracts 2014-02-17 2015-11-27
Rep Dealing in securities 2014-02-17 2015-11-27
2 GFI (HK) SECURITIES L.L.C. Rep Automated trading services 2010-07-05 2013-04-19
Rep Dealing in securities 2010-07-05 2013-04-19
3 ICAP Securities Hong Kong Limited Rep Dealing in futures contracts 2005-11-21 2009-06-19
Rep Dealing in securities 2005-11-21 2009-06-19
4 KGI ASIA LIMITED Rep Advising on corporate finance 2004-06-02
Rep Advising on securities 2004-06-02
Rep Asset management 2004-06-02
Rep Dealing in securities 2005-03-03
5 KGI FUTURES (HONG KONG) LIMITED Rep Advising on futures contracts 2004-06-02
Rep Asset management 2004-06-02
Rep Dealing in futures contracts 2005-03-03
6 KGI SECURITIES (HONG KONG) LIMITED Rep Automated trading services 2003-07-21
Rep Advising on corporate finance 2004-06-02
Rep Advising on securities 2004-06-02
Rep Asset management 2004-06-02
Rep Dealing in securities 2005-03-03
7 Vantage Capital Markets HK Limited Rep Dealing in futures contracts 2015-11-27 2018-01-26
Rep Dealing in securities 2015-11-27 2018-01-26

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