Adam Aaron Cowperthwaite
This page summarises the Hong Kong Securities and Futures Commission (SFC) public register record for Adam Aaron Cowperthwaite ( ), a licensed former licensee with CE reference AIB753. Total licence records on file: 21.
Licence history
| Firm | Role | Regulated activity | From | To |
|---|---|---|---|---|
| Citigroup Global Markets Asia Limited 花旗環球金融亞洲有限公司 |
Rep | Type 4 — Advising on securities | 2017-07-03 | 2020-01-31 |
| Citigroup Global Markets Asia Limited 花旗環球金融亞洲有限公司 |
Rep | Type 1 — Dealing in securities | 2014-04-16 | 2020-01-31 |
| Citigroup Global Markets Asia Limited 花旗環球金融亞洲有限公司 |
Rep | Type 2 — Dealing in futures contracts | 2014-04-16 | 2020-01-31 |
| Daiwa Capital Markets Trading Hong Kong Limited 大和資本市場金融交易香港有限公司 |
Rep | Type 1 — Dealing in securities | 2010-11-20 | 2011-09-03 |
| Daiwa Capital Markets Trading Hong Kong Limited 大和資本市場金融交易香港有限公司 |
Rep | Type 2 — Dealing in futures contracts | 2010-11-20 | 2011-09-03 |
| Daiwa Capital Markets Hong Kong Limited 大和資本市場香港有限公司 |
Rep | Type 1 — Dealing in securities | 2010-02-09 | 2011-09-03 |
| Daiwa Capital Markets Hong Kong Limited 大和資本市場香港有限公司 |
Rep | Type 2 — Dealing in futures contracts | 2010-02-09 | 2011-09-03 |
| Credit Suisse (Hong Kong) Limited 瑞士信貸(香港)有限公司 |
Rep | Type 2 — Dealing in futures contracts | 2008-11-06 | 2009-03-30 |
| Credit Suisse (Hong Kong) Limited 瑞士信貸(香港)有限公司 |
Rep | Type 7 — Providing automated trading services | 2008-11-06 | 2009-03-30 |
| Credit Suisse Futures (Hong Kong) Limited | Rep | Type 7 — Providing automated trading services | 2005-04-14 | 2008-11-24 |
| Credit Suisse (Hong Kong) Limited 瑞士信貸(香港)有限公司 |
Rep | Type 1 — Dealing in securities | 2003-08-20 | 2009-03-30 |
| Credit Suisse Futures (Hong Kong) Limited | Rep | Type 2 — Dealing in futures contracts | 2003-08-20 | 2008-11-24 |
| J.P. Morgan Broking (Hong Kong) Limited | Rep | Type 1 — Dealing in securities | present | 2003-07-18 |
| J.P. Morgan Futures Hong Kong Limited |
Rep | Type 2 — Dealing in futures contracts | present | 2003-07-18 |
| J.P. Morgan Broking (Hong Kong) Limited | Rep | Type 4 — Advising on securities | present | 2003-07-18 |
| J.P. Morgan Futures Hong Kong Limited |
Rep | Type 5 — Advising on futures contracts | present | 2003-07-18 |
| J.P. Morgan Broking (Hong Kong) Limited | Rep | Type 6 — Advising on corporate finance | present | 2003-07-18 |
| J.P. Morgan Broking (Hong Kong) Limited | Rep | Type 7 — Providing automated trading services | present | 2003-07-18 |
| J.P. Morgan Futures Hong Kong Limited |
Rep | Type 7 — Providing automated trading services | present | 2003-07-18 |
| J.P. Morgan Broking (Hong Kong) Limited | Rep | Type 9 — Asset management | present | 2003-07-18 |
| J.P. Morgan Futures Hong Kong Limited |
Rep | Type 9 — Asset management | present | 2003-07-18 |