Neil Robert Arrowsmith
This page summarises the Hong Kong Securities and Futures Commission (SFC) public register record for Neil Robert Arrowsmith, a licensed Responsible Officer with CE reference AZO197. Currently licensed at 1 firm(s): MUFG Securities Asia Limited. Active regulated activities: Type 1 — Dealing in securities; Type 6 — Advising on corporate finance. Total licence records on file: 4.
Licence history
| Firm | Role | Regulated activity | From | To |
|---|---|---|---|---|
| MUFG Securities Asia Limited 三菱日聯證券亞洲有限公司 |
RO | Type 1 — Dealing in securities | 2025-07-25 | present |
| MUFG Securities Asia Limited 三菱日聯證券亞洲有限公司 |
RO | Type 6 — Advising on corporate finance | 2012-09-14 | present |
| MUFG Securities Asia Limited 三菱日聯證券亞洲有限公司 |
Rep | Type 1 — Dealing in securities | 2012-06-04 | 2025-07-25 |
| MUFG Securities Asia Limited 三菱日聯證券亞洲有限公司 |
Rep | Type 6 — Advising on corporate finance | 2012-06-04 | 2012-09-14 |