Nicholas James Creer Thompson
This page summarises the Hong Kong Securities and Futures Commission (SFC) public register record for Nicholas James Creer Thompson, a licensed Representative with CE reference ABE543. Currently licensed at 1 firm(s): HSBC Securities Brokers (Asia) Limited. Active regulated activities: Type 1 — Dealing in securities. Total licence records on file: 7.
Licence history
| Firm | Role | Regulated activity | From | To |
|---|---|---|---|---|
| HSBC Securities Brokers (Asia) Limited 滙豐證券經紀(亞洲)有限公司 |
Rep | Type 1 — Dealing in securities | 2022-05-20 | present |
| orientiert International Markets Limited | Rep | Type 1 — Dealing in securities | 2009-03-10 | 2009-10-27 |
| Macquarie Capital Limited 麥格理資本股份有限公司 |
Rep | Type 1 — Dealing in securities | 2008-08-11 | 2008-11-26 |
| Macquarie Equities (Asia) Limited 麥格理證券(亞洲)有限公司 |
Rep | Type 1 — Dealing in securities | 2004-07-19 | 2008-11-26 |
| AXA Rosenberg Investment Management Asia Pacific Limited 安盛羅森堡投資管理亞太有限公司(以AXARosenbergAsiaPacific;AXAInvestmentManagers名義經營業務) |
Rep | Type 4 — Advising on securities | present | 2004-04-01 |
| AXA Rosenberg Investment Management Asia Pacific Limited 安盛羅森堡投資管理亞太有限公司(以AXARosenbergAsiaPacific;AXAInvestmentManagers名義經營業務) |
Rep | Type 6 — Advising on corporate finance | present | 2004-04-01 |
| AXA Rosenberg Investment Management Asia Pacific Limited 安盛羅森堡投資管理亞太有限公司(以AXARosenbergAsiaPacific;AXAInvestmentManagers名義經營業務) |
Rep | Type 9 — Asset management | present | 2004-04-01 |