David Sarkis
This page summarises the Hong Kong Securities and Futures Commission (SFC) public register record for David Sarkis ( ), a licensed former licensee with CE reference AJN346. Total licence records on file: 27.
Licence history
| Firm | Role | Regulated activity | From | To |
|---|---|---|---|---|
| Shangding International Asset Management Company Limited 上鼎國際資產管理有限公司 |
RO | Type 9 — Asset management | 2016-07-08 | 2023-10-20 |
| Shangding International Asset Management Company Limited 上鼎國際資產管理有限公司 |
Rep | Type 9 — Asset management | 2016-04-26 | 2016-07-08 |
| Standard Chartered Securities (Hong Kong) Limited 渣打證券(香港)有限公司 |
Rep | Type 1 — Dealing in securities | 2014-03-26 | 2015-06-27 |
| Standard Chartered Securities (Hong Kong) Limited 渣打證券(香港)有限公司 |
Rep | Type 2 — Dealing in futures contracts | 2014-03-26 | 2015-06-27 |
| Standard Chartered Securities (Hong Kong) Limited 渣打證券(香港)有限公司 |
Rep | Type 4 — Advising on securities | 2014-03-26 | 2015-06-27 |
| Standard Chartered Securities (Hong Kong) Limited 渣打證券(香港)有限公司 |
Rep | Type 5 — Advising on futures contracts | 2014-03-26 | 2015-06-27 |
| Everbright Capital Management Limited 光大資本管理有限公司 |
Rep | Type 4 — Advising on securities | 2012-07-05 | 2013-09-10 |
| Everbright Capital Management Limited 光大資本管理有限公司 |
Rep | Type 9 — Asset management | 2012-07-05 | 2013-09-10 |
| 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 | 2012-03-22 |
| 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 | 2012-03-22 |
| Daiwa Capital Markets Hong Kong Limited 大和資本市場香港有限公司 |
RO | Type 1 — Dealing in securities | 2010-04-21 | 2012-03-22 |
| Daiwa Capital Markets Hong Kong Limited 大和資本市場香港有限公司 |
RO | Type 4 — Advising on securities | 2010-04-21 | 2012-03-22 |
| Daiwa Capital Markets Hong Kong Limited 大和資本市場香港有限公司 |
Rep | Type 1 — Dealing in securities | 2010-02-12 | 2010-04-21 |
| 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 | 2010-02-12 | 2012-03-22 |
| Daiwa Capital Markets Hong Kong Limited 大和資本市場香港有限公司 |
Rep | Type 4 — Advising on securities | 2010-02-12 | 2010-04-21 |
| EFG Asset Management (HK) Limited 瑞士盈豐資產管理(香港)有限公司 |
RO | Type 4 — Advising on securities | 2009-02-06 | 2009-11-11 |
| EFG Asset Management (HK) Limited 瑞士盈豐資產管理(香港)有限公司 |
RO | Type 9 — Asset management | 2009-02-06 | 2009-11-11 |
| EFG Asset Management (HK) Limited 瑞士盈豐資產管理(香港)有限公司 |
Rep | Type 4 — Advising on securities | 2008-12-15 | 2009-02-06 |
| EFG Asset Management (HK) Limited 瑞士盈豐資產管理(香港)有限公司 |
Rep | Type 9 — Asset management | 2008-12-15 | 2009-02-06 |
| Credit Agricole Securities (Asia) Limited 東方匯理證券(亞洲)有限公司 |
RO | Type 1 — Dealing in securities | 2007-11-01 | 2008-12-01 |
| Credit Agricole Securities (Asia) Limited 東方匯理證券(亞洲)有限公司 |
Rep | Type 1 — Dealing in securities | 2006-05-10 | 2007-11-01 |
| RBS Asia Futures Limited 蘇皇金融期貨亞洲有限公司 |
Rep | Type 2 — Dealing in futures contracts | 2006-05-10 | 2008-12-01 |
| Deutsche Securities Asia Limited 德意志證券亞洲有限公司 |
Rep | Type 1 — Dealing in securities | 2005-01-10 | 2005-07-07 |
| Deutsche Securities Asia Limited 德意志證券亞洲有限公司 |
RO | Type 1 — Dealing in securities | 2004-06-01 | 2005-01-10 |
| Deutsche Securities Asia Limited 德意志證券亞洲有限公司 |
RO | Type 2 — Dealing in futures contracts | 2004-06-01 | 2005-07-07 |
| Deutsche Securities Asia Limited 德意志證券亞洲有限公司 |
RO | Type 5 — Advising on futures contracts | 2004-06-01 | 2005-07-07 |
| Deutsche Securities Asia Limited 德意志證券亞洲有限公司 |
Rep | Type 1 — Dealing in securities | 2004-03-05 | 2004-06-01 |