Nicholas David Rogers
This page summarises the Hong Kong Securities and Futures Commission (SFC) public register record for Nicholas David Rogers ( ), a licensed former licensee with CE reference ABP979. Total licence records on file: 8.
Licence history
| Firm | Role | Regulated activity | From | To |
|---|---|---|---|---|
| Marco Polo Pure Asset Management Limited | RO | Type 4 — Advising on securities | 2008-04-01 | 2009-07-22 |
| Marco Polo Pure Asset Management Limited | RO | Type 9 — Asset management | 2008-04-01 | 2009-07-22 |
| FIL Investment Management (Hong Kong) Limited 富達基金(香港)有限公司 |
RO | Type 1 — Dealing in securities | 2005-07-15 | 2008-03-31 |
| FIL Investment Management (Hong Kong) Limited 富達基金(香港)有限公司 |
RO | Type 4 — Advising on securities | 2005-07-15 | 2008-03-31 |
| FIL Investment Management (Hong Kong) Limited 富達基金(香港)有限公司 |
RO | Type 9 — Asset management | 2005-07-15 | 2008-03-31 |
| FIL Investment Management (Hong Kong) Limited 富達基金(香港)有限公司 |
Rep | Type 4 — Advising on securities | 2004-10-15 | 2005-07-15 |
| FIL Investment Management (Hong Kong) Limited 富達基金(香港)有限公司 |
Rep | Type 1 — Dealing in securities | 2004-02-24 | 2005-07-15 |
| FIL Investment Management (Hong Kong) Limited 富達基金(香港)有限公司 |
Rep | Type 9 — Asset management | 2004-02-24 | 2005-07-15 |