John G Tompkins
This page summarises the Hong Kong Securities and Futures Commission (SFC) public register record for John G Tompkins ( ), a licensed former licensee with CE reference ANK430. Total licence records on file: 10.
Licence history
| Firm | Role | Regulated activity | From | To |
|---|---|---|---|---|
| BNP Paribas Securities (Asia) Limited 法國巴黎證券(亞洲)有限公司 |
Rep | Type 1 — Dealing in securities | 2018-06-22 | 2021-12-03 |
| BNP Paribas Securities (Asia) Limited 法國巴黎證券(亞洲)有限公司 |
Rep | Type 2 — Dealing in futures contracts | 2018-06-22 | 2021-12-03 |
| Senrigan Capital Group Limited | RO | Type 9 — Asset management | 2011-06-28 | 2013-07-15 |
| Senrigan Capital Group Limited | Rep | Type 9 — Asset management | 2010-11-15 | 2011-06-28 |
| BNP Paribas Futures (Hong Kong) Limited 法國巴黎期貨(香港)有限公司 |
Rep | Type 2 — Dealing in futures contracts | 2010-05-19 | 2010-11-05 |
| BNP Paribas Securities (Asia) Limited 法國巴黎證券(亞洲)有限公司 |
Rep | Type 1 — Dealing in securities | 2009-11-17 | 2010-11-05 |
| BNP Paribas Securities (Asia) Limited 法國巴黎證券(亞洲)有限公司 |
Rep | Type 7 — Providing automated trading services | 2009-11-17 | 2010-11-05 |
| OCP Asia (Hong Kong) Limited | Rep | Type 4 — Advising on securities | 2006-07-17 | 2008-12-16 |
| OCP Asia (Hong Kong) Limited | Rep | Type 5 — Advising on futures contracts | 2006-07-17 | 2008-12-16 |
| OCP Asia (Hong Kong) Limited | Rep | Type 9 — Asset management | 2006-07-17 | 2008-12-16 |