Daniel John Rose
This page summarises the Hong Kong Securities and Futures Commission (SFC) public register record for Daniel John Rose, a licensed Responsible Officer with CE reference AYA429. Currently licensed at 2 firm(s): MCM Asia Limited, MCM Investment Partners Limited. Active regulated activities: Type 1 — Dealing in securities; Type 4 — Advising on securities; Type 9 — Asset management. Total licence records on file: 12.
More firms doing Dealing in securities →More firms doing Advising on securities →More firms doing Asset management →
Licence history
| Firm | Role | Regulated activity | From | To |
|---|---|---|---|---|
| MCM Asia Limited (以曼睿資本名義經營業務) |
RO | Type 1 — Dealing in securities | 2023-11-21 | present |
| MCM Asia Limited (以曼睿資本名義經營業務) |
RO | Type 4 — Advising on securities | 2023-11-21 | present |
| MCM Investment Partners Limited (以曼睿資管名義經營業務) |
RO | Type 9 — Asset management | 2023-11-21 | present |
| MCM Asia Limited (以曼睿資本名義經營業務) |
Rep | Type 1 — Dealing in securities | 2023-03-30 | 2023-11-21 |
| MCM Asia Limited (以曼睿資本名義經營業務) |
Rep | Type 4 — Advising on securities | 2023-03-30 | 2023-11-21 |
| MCM Investment Partners Limited (以曼睿資管名義經營業務) |
Rep | Type 9 — Asset management | 2023-03-30 | 2023-11-21 |
| VTB Capital Hong Kong Limited | RO | Type 1 — Dealing in securities | 2020-06-29 | 2022-05-31 |
| VTB Capital Hong Kong Limited | RO | Type 4 — Advising on securities | 2020-06-29 | 2022-05-31 |
| VTB Capital Hong Kong Limited | RO | Type 6 — Advising on corporate finance | 2020-06-29 | 2022-05-31 |
| VTB Capital Hong Kong Limited | RO | Type 9 — Asset management | 2019-01-04 | 2022-05-31 |
| SG Securities (HK) Limited 法國興業證券(香港)有限公司 |
Rep | Type 2 — Dealing in futures contracts | 2013-03-01 | 2017-10-10 |
| SG Securities (HK) Limited 法國興業證券(香港)有限公司 |
Rep | Type 2 — Dealing in futures contracts | 2011-09-14 | 2011-09-16 |