Lewis Edward Prescott
This page summarises the Hong Kong Securities and Futures Commission (SFC) public register record for Lewis Edward Prescott, a licensed Responsible Officer with CE reference AOQ772. Currently licensed at 1 firm(s): Citadel Asia Limited. Active regulated activities: Type 9 — Asset management. Total licence records on file: 10.
Licence history
| Firm | Role | Regulated activity | From | To |
|---|---|---|---|---|
| Citadel Asia Limited | RO | Type 9 — Asset management | 2023-08-14 | present |
| Mingshi Investment Management Limited 鳴石投資(香港)管理有限公司 |
RO | Type 9 — Asset management | 2021-09-16 | 2022-10-01 |
| OP Investment Management Limited 東英投資管理有限公司 |
Rep | Type 9 — Asset management | 2020-03-13 | 2021-09-15 |
| Nezu Asia Capital Management Limited 根津亞洲資本管理有限公司 |
Rep | Type 9 — Asset management | 2014-09-12 | 2018-10-20 |
| Mizuho Securities Asia Limited 瑞穗證券亞洲有限公司 |
Rep | Type 1 — Dealing in securities | 2013-07-29 | 2014-06-12 |
| Mizuho Securities Asia Limited 瑞穗證券亞洲有限公司 |
Rep | Type 4 — Advising on securities | 2013-07-29 | 2014-06-12 |
| Citigroup Global Markets Hong Kong Futures and Securities Limited | Rep | Type 2 — Dealing in futures contracts | 2010-09-28 | 2012-11-15 |
| Citigroup Global Markets Asia Limited 花旗環球金融亞洲有限公司 |
Rep | Type 1 — Dealing in securities | 2010-08-23 | 2012-11-15 |
| Deutsche Securities Asia Limited 德意志證券亞洲有限公司 |
Rep | Type 2 — Dealing in futures contracts | 2007-04-30 | 2009-04-21 |
| Deutsche Securities Asia Limited 德意志證券亞洲有限公司 |
Rep | Type 1 — Dealing in securities | 2007-03-01 | 2009-04-21 |