John Leonard Browning
This page summarises the Hong Kong Securities and Futures Commission (SFC) public register record for John Leonard Browning, a licensed Responsible Officer with CE reference AQF043. Currently licensed at 2 firm(s): BANDS Financial Limited, BANDS Capital Management Limited. Active regulated activities: Type 2 — Dealing in futures contracts; Type 5 — Advising on futures contracts; Type 9 — Asset management. Total licence records on file: 10.
More firms doing Dealing in futures contracts →More firms doing Advising on futures contracts →More firms doing Asset management →
Licence history
| Firm | Role | Regulated activity | From | To |
|---|---|---|---|---|
| BANDS Financial Limited 磐石金融有限公司 |
RO | Type 5 — Advising on futures contracts | 2024-07-24 | present |
| BANDS Capital Management Limited 磐石資產管理有限公司 |
RO | Type 9 — Asset management | 2023-12-13 | present |
| BANDS Financial Limited 磐石金融有限公司 |
RO | Type 2 — Dealing in futures contracts | 2015-10-13 | present |
| Jefferies Hong Kong Limited 富瑞金融集團香港有限公司 |
Rep | Type 2 — Dealing in futures contracts | 2012-10-10 | 2015-03-12 |
| Jefferies Bache (Hong Kong) Limited | Rep | Type 2 — Dealing in futures contracts | 2012-09-27 | 2012-11-30 |
| SG Asset Finance (Hong Kong) Limited | Rep | Type 2 — Dealing in futures contracts | 2008-10-13 | 2012-06-22 |
| Newedge Broker Limited 新際經紀有限公司 |
Rep | Type 7 — Providing automated trading services | 2008-07-31 | 2009-07-31 |
| Newedge Broker Hong Kong Limited 新際經紀香港有限公司 |
Rep | Type 2 — Dealing in futures contracts | 2008-07-02 | 2012-06-22 |
| Newedge Broker Limited 新際經紀有限公司 |
Rep | Type 2 — Dealing in futures contracts | 2008-07-02 | 2009-07-31 |
| Bear Stearns Asia Limited 貝爾斯登亞洲有限公司 |
Rep | Type 2 — Dealing in futures contracts | 2008-01-03 | 2008-06-30 |