Rogers, Neil Colin (SFC:ALS349)
SFC licenses
Rep=Representative, RO=Responsible Officer. A person without a starting date was in that role since at least 1-Apr-2003 when the current register began.
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| Organisation | Role | Activity | From | Until | |
|---|---|---|---|---|---|
| 1 | China Renaissance Securities (Hong Kong) Limited | RO | Advising on securities | 2012-10-24 | 2013-09-30 | RO | Dealing in securities | 2012-10-24 | 2013-09-30 |
| 2 | Citigroup Global Markets Asia Limited | Rep | Dealing in securities | 2005-07-27 | 2008-02-13 |
| 3 | CITIGROUP GLOBAL MARKETS HONG KONG FUTURES AND SECURITIES LIMITED | Rep | Dealing in securities | 2005-07-27 | 2008-02-13 |
| 4 | HSBC SECURITIES (ASIA) LIMITED | Rep | Dealing in securities | 2005-02-14 | 2005-06-24 | Rep | Advising on securities | 2005-04-28 | 2005-06-24 |
| 5 | Knight Capital Asia Limited | Rep | Advising on securities | 2010-09-09 | 2011-08-04 | Rep | Dealing in securities | 2010-09-09 | 2011-08-04 |
| 6 | MF Securities Hong Kong Limited | Rep | Advising on securities | 2008-04-07 | 2008-11-28 | Rep | Dealing in securities | 2008-04-07 | 2008-11-28 | RO | Advising on securities | 2008-11-28 | 2010-07-12 | RO | Dealing in securities | 2008-11-28 | 2010-07-12 |
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