Nicholas Charles Sparrow
This page summarises the Hong Kong Securities and Futures Commission (SFC) public register record for Nicholas Charles Sparrow ( ), a licensed former licensee with CE reference AHF977. Total licence records on file: 20.
Licence history
| Firm | Role | Regulated activity | From | To |
|---|---|---|---|---|
| Vantage Capital Markets HK Limited | Rep | Type 1 — Dealing in securities | 2015-11-27 | 2018-01-26 |
| Vantage Capital Markets HK Limited | Rep | Type 2 — Dealing in futures contracts | 2015-11-27 | 2018-01-26 |
| De Riva Asia Limited |
Rep | Type 1 — Dealing in securities | 2014-02-17 | 2015-11-27 |
| De Riva Asia Limited |
Rep | Type 2 — Dealing in futures contracts | 2014-02-17 | 2015-11-27 |
| GFI (HK) Securities L.L.C. | Rep | Type 1 — Dealing in securities | 2010-07-05 | 2013-04-19 |
| GFI (HK) Securities L.L.C. | Rep | Type 7 — Providing automated trading services | 2010-07-05 | 2013-04-19 |
| ICAP Securities Hong Kong Limited | Rep | Type 1 — Dealing in securities | 2005-11-21 | 2009-06-19 |
| ICAP Securities Hong Kong Limited | Rep | Type 2 — Dealing in futures contracts | 2005-11-21 | 2009-06-19 |
| KGI Asia Limited 凱基證券亞洲有限公司 |
Rep | Type 1 — Dealing in securities | present | 2005-03-03 |
| KGI Securities (Hong Kong) Limited 凱基證券(香港)有限公司 |
Rep | Type 1 — Dealing in securities | present | 2005-03-03 |
| KGI Futures (Hong Kong) Limited 凱基期貨(香港)有限公司 |
Rep | Type 2 — Dealing in futures contracts | present | 2005-03-03 |
| KGI Asia Limited 凱基證券亞洲有限公司 |
Rep | Type 4 — Advising on securities | present | 2004-06-02 |
| KGI Securities (Hong Kong) Limited 凱基證券(香港)有限公司 |
Rep | Type 4 — Advising on securities | present | 2004-06-02 |
| KGI Futures (Hong Kong) Limited 凱基期貨(香港)有限公司 |
Rep | Type 5 — Advising on futures contracts | present | 2004-06-02 |
| KGI Asia Limited 凱基證券亞洲有限公司 |
Rep | Type 6 — Advising on corporate finance | present | 2004-06-02 |
| KGI Securities (Hong Kong) Limited 凱基證券(香港)有限公司 |
Rep | Type 6 — Advising on corporate finance | present | 2004-06-02 |
| KGI Securities (Hong Kong) Limited 凱基證券(香港)有限公司 |
Rep | Type 7 — Providing automated trading services | present | 2003-07-21 |
| KGI Asia Limited 凱基證券亞洲有限公司 |
Rep | Type 9 — Asset management | present | 2004-06-02 |
| KGI Futures (Hong Kong) Limited 凱基期貨(香港)有限公司 |
Rep | Type 9 — Asset management | present | 2004-06-02 |
| KGI Securities (Hong Kong) Limited 凱基證券(香港)有限公司 |
Rep | Type 9 — Asset management | present | 2004-06-02 |