Neil Lionel Newman
This page summarises the Hong Kong Securities and Futures Commission (SFC) public register record for Neil Lionel Newman ( ), a licensed former licensee with CE reference ABF170. Total licence records on file: 13.
Licence history
| Firm | Role | Regulated activity | From | To |
|---|---|---|---|---|
| Senrigan Capital Group Limited | RO | Type 9 — Asset management | 2020-05-15 | 2020-11-25 |
| Senrigan Capital Group Limited | Rep | Type 9 — Asset management | 2020-05-08 | 2020-05-15 |
| Haitong International Research Limited 海通國際研究有限公司 |
Rep | Type 4 — Advising on securities | 2018-12-05 | 2019-08-09 |
| Louis Capital Markets (Hong Kong) Limited 滙通金融有限公司 |
Rep | Type 1 — Dealing in securities | 2013-06-03 | 2014-06-26 |
| Louis Capital Markets (Hong Kong) Limited 滙通金融有限公司 |
Rep | Type 4 — Advising on securities | 2013-06-03 | 2014-06-26 |
| Oppenheimer Investments Asia Limited 凱萬亞洲有限公司 |
Rep | Type 1 — Dealing in securities | 2012-09-19 | 2013-02-18 |
| BTIG Hong Kong Limited |
Rep | Type 1 — Dealing in securities | 2011-11-07 | 2012-09-03 |
| MF Global Hong Kong Limited 明富環球香港有限公司 |
Rep | Type 1 — Dealing in securities | 2010-10-11 | 2011-09-14 |
| MF Global Hong Kong Limited 明富環球香港有限公司 |
Rep | Type 4 — Advising on securities | 2010-10-11 | 2011-09-14 |
| Senrigan Capital Group Limited | RO | Type 9 — Asset management | 2010-05-03 | 2010-08-26 |
| Senrigan Capital Group Limited | Rep | Type 9 — Asset management | 2010-03-12 | 2010-05-03 |
| Mirabaud (Asia) Limited |
Rep | Type 1 — Dealing in securities | 2009-07-13 | 2010-02-28 |
| Mirabaud (Asia) Limited |
Rep | Type 4 — Advising on securities | 2009-07-13 | 2010-02-28 |