Roger Ardisorn Sripunporn
潘小山
This page summarises the Hong Kong Securities and Futures Commission (SFC) public register record for Roger Ardisorn Sripunporn (潘小山), a licensed former licensee with CE reference AIB741. Total licence records on file: 13.
Licence history
| Firm | Role | Regulated activity | From | To |
|---|---|---|---|---|
| GFI (HK) Securities L.L.C. | Rep | Type 7 — Providing automated trading services | 2011-09-27 | 2018-01-16 |
| GFI (HK) Securities L.L.C. | Rep | Type 1 — Dealing in securities | 2010-01-04 | 2018-01-16 |
| Daiwa Capital Markets Hong Kong Limited 大和資本市場香港有限公司 |
Rep | Type 1 — Dealing in securities | 2007-10-04 | 2008-01-05 |
| BOCI Securities Limited 中銀國際證券有限公司 |
Rep | Type 2 — Dealing in futures contracts | 2005-10-13 | 2005-11-07 |
| BOCI Securities Limited 中銀國際證券有限公司 |
Rep | Type 1 — Dealing in securities | 2004-01-28 | 2005-11-07 |
| BOCI Commodities & Futures Limited 中銀國際期貨有限公司 |
Rep | Type 2 — Dealing in futures contracts | 2004-01-28 | 2005-11-07 |
| BNP Paribas Securities (Asia) Limited 法國巴黎證券(亞洲)有限公司 |
Rep | Type 1 — Dealing in securities | present | 2003-09-18 |
| BNP Paribas Peregrine Futures Limited 法國巴黎百富勤期貨有限公司 |
Rep | Type 2 — Dealing in futures contracts | present | 2003-09-18 |
| BNP Paribas Securities (Asia) Limited 法國巴黎證券(亞洲)有限公司 |
Rep | Type 4 — Advising on securities | present | 2003-09-17 |
| BNP Paribas Peregrine Futures Limited 法國巴黎百富勤期貨有限公司 |
Rep | Type 5 — Advising on futures contracts | present | 2003-09-17 |
| BNP Paribas Securities (Asia) Limited 法國巴黎證券(亞洲)有限公司 |
Rep | Type 6 — Advising on corporate finance | present | 2003-09-17 |
| BNP Paribas Peregrine Futures Limited 法國巴黎百富勤期貨有限公司 |
Rep | Type 9 — Asset management | present | 2003-09-17 |
| BNP Paribas Securities (Asia) Limited 法國巴黎證券(亞洲)有限公司 |
Rep | Type 9 — Asset management | present | 2003-09-17 |