Nicholas Edward Mawdsley
This page summarises the Hong Kong Securities and Futures Commission (SFC) public register record for Nicholas Edward Mawdsley, a licensed Responsible Officer with CE reference AEZ089. Currently licensed at 2 firm(s): Anglo Chinese Research, Limited, Anglo Chinese Securities, Limited. Active regulated activities: Type 1 — Dealing in securities; Type 4 — Advising on securities; Type 9 — Asset management. Total licence records on file: 7.
More firms doing Dealing in securities →More firms doing Advising on securities →More firms doing Asset management →
Licence history
| Firm | Role | Regulated activity | From | To |
|---|---|---|---|---|
| Anglo Chinese Research, Limited | RO | Type 4 — Advising on securities | 2009-01-19 | present |
| Anglo Chinese Securities, Limited 英高證券有限公司 |
RO | Type 1 — Dealing in securities | 2008-03-03 | present |
| Anglo Chinese Securities, Limited 英高證券有限公司 |
RO | Type 4 — Advising on securities | 2008-03-03 | present |
| Anglo Chinese Securities, Limited 英高證券有限公司 |
RO | Type 9 — Asset management | 2008-03-03 | present |
| Anglo Chinese Securities, Limited 英高證券有限公司 |
Rep | Type 1 — Dealing in securities | 2006-05-26 | 2008-03-03 |
| Anglo Chinese Securities, Limited 英高證券有限公司 |
Rep | Type 4 — Advising on securities | 2005-06-28 | 2008-03-03 |
| Anglo Chinese Securities, Limited 英高證券有限公司 |
Rep | Type 9 — Asset management | 2005-06-28 | 2008-03-03 |