David Ian Rogers
This page summarises the Hong Kong Securities and Futures Commission (SFC) public register record for David Ian Rogers, a licensed Responsible Officer with CE reference APJ114. Currently licensed at 1 firm(s): Northwest Investment Management (Hong Kong) Limited. Active regulated activities: Type 9 — Asset management. Total licence records on file: 5.
Licence history
| Firm | Role | Regulated activity | From | To |
|---|---|---|---|---|
| Northwest Investment Management (Hong Kong) Limited |
RO | Type 9 — Asset management | 2009-04-09 | present |
| RAB Capital (Asia) Limited |
RO | Type 1 — Dealing in securities | 2008-04-17 | 2009-04-02 |
| RAB Capital (Asia) Limited |
RO | Type 4 — Advising on securities | 2007-09-28 | 2009-04-02 |
| RAB Capital (Asia) Limited |
RO | Type 5 — Advising on futures contracts | 2007-09-28 | 2009-04-02 |
| RAB Capital (Asia) Limited |
RO | Type 9 — Asset management | 2007-09-28 | 2009-04-02 |