Neil Colin Rogers
This page summarises the Hong Kong Securities and Futures Commission (SFC) public register record for Neil Colin Rogers ( ), a licensed former licensee with CE reference ALS349. Total licence records on file: 12.
Licence history
| Firm | Role | Regulated activity | From | To |
|---|---|---|---|---|
| China Renaissance Securities (Hong Kong) Limited 華興證券(香港)有限公司 |
RO | Type 1 — Dealing in securities | 2012-10-24 | 2013-09-30 |
| China Renaissance Securities (Hong Kong) Limited 華興證券(香港)有限公司 |
RO | Type 4 — Advising on securities | 2012-10-24 | 2013-09-30 |
| Knight Capital Asia Limited 澧盈資本亞洲有限公司 |
Rep | Type 1 — Dealing in securities | 2010-09-09 | 2011-08-04 |
| Knight Capital Asia Limited 澧盈資本亞洲有限公司 |
Rep | Type 4 — Advising on securities | 2010-09-09 | 2011-08-04 |
| MainFirst Securities Hong Kong Limited |
RO | Type 1 — Dealing in securities | 2008-11-28 | 2010-07-12 |
| MainFirst Securities Hong Kong Limited |
RO | Type 4 — Advising on securities | 2008-11-28 | 2010-07-12 |
| MainFirst Securities Hong Kong Limited |
Rep | Type 1 — Dealing in securities | 2008-04-07 | 2008-11-28 |
| MainFirst Securities Hong Kong Limited |
Rep | Type 4 — Advising on securities | 2008-04-07 | 2008-11-28 |
| Citigroup Global Markets Asia Limited 花旗環球金融亞洲有限公司 |
Rep | Type 1 — Dealing in securities | 2005-07-27 | 2008-02-13 |
| Citigroup Global Markets Hong Kong Futures and Securities Limited | Rep | Type 1 — Dealing in securities | 2005-07-27 | 2008-02-13 |
| HSBC Securities (Asia) Limited | Rep | Type 4 — Advising on securities | 2005-04-28 | 2005-06-24 |
| HSBC Securities (Asia) Limited | Rep | Type 1 — Dealing in securities | 2005-02-14 | 2005-06-24 |