David John Swanston
This page summarises the Hong Kong Securities and Futures Commission (SFC) public register record for David John Swanston, a licensed former licensee with CE reference AJJ363. This person has 1.1 years of SFC licence history. Total licence records on file: 3.
Information
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Licence history
| Firm | Role | Regulated activity | From | To |
|---|---|---|---|---|
| KGI Asia Limited 凱基證券亞洲有限公司 |
Rep | Type 1 - Dealing in securities | 2004-01-10 | 2005-03-04 |
| KGI Securities (Hong Kong) Limited 凱基證券(香港)有限公司 |
Rep | Type 1 - Dealing in securities | 2004-01-10 | 2005-03-04 |
| KGI Futures (Hong Kong) Limited 凱基期貨(香港)有限公司 |
Rep | Type 2 - Dealing in futures contracts | 2004-01-10 | 2005-03-04 |
Worked alongside
The 20 closest colleagues, strongest tie first — individuals licensed at the same firm as David John Swanston during overlapping periods. Ranked by how long they overlapped and how similar their regulated activities were, with shared time at a smaller firm weighted more than at a large one. See the detailed formula.