Fraser John Glasgow
This page summarises the Hong Kong Securities and Futures Commission (SFC) public register record for Fraser John Glasgow ( ), a licensed former licensee with CE reference AEP339. Total licence records on file: 11.
Licence history
| Firm | Role | Regulated activity | From | To |
|---|---|---|---|---|
| Opus Capital Limited 創富融資有限公司 |
Rep | Type 1 — Dealing in securities | 2015-03-18 | 2019-08-11 |
| Astrum Capital Management Limited 阿仕特朗資本管理有限公司 |
Rep | Type 1 — Dealing in securities | 2013-08-07 | 2015-03-09 |
| Mirabaud (Asia) Limited |
Rep | Type 1 — Dealing in securities | 2009-06-03 | 2012-04-27 |
| Mirabaud (Asia) Limited |
Rep | Type 4 — Advising on securities | 2009-06-03 | 2012-04-27 |
| RHB Securities Hong Kong Limited 興業金融證券有限公司 |
Rep | Type 4 — Advising on securities | 2007-03-27 | 2009-05-22 |
| RHB Securities Hong Kong Limited 興業金融證券有限公司 |
Rep | Type 1 — Dealing in securities | 2006-07-26 | 2009-05-22 |
| Piper Jaffray Asia Securities Limited 派杰亞洲証券有限公司 |
Rep | Type 1 — Dealing in securities | 2004-03-03 | 2006-06-24 |
| Piper Jaffray Asia Securities Limited 派杰亞洲証券有限公司 |
Rep | Type 4 — Advising on securities | 2004-03-03 | 2006-06-24 |
| UOB Kay Hian (Hong Kong) Limited 大華繼顯(香港)有限公司 |
Rep | Type 1 — Dealing in securities | present | 2004-02-06 |
| UOB Kay Hian (Hong Kong) Limited 大華繼顯(香港)有限公司 |
Rep | Type 4 — Advising on securities | present | 2004-02-06 |
| UOB Kay Hian (Hong Kong) Limited 大華繼顯(香港)有限公司 |
Rep | Type 6 — Advising on corporate finance | present | 2004-02-06 |