Thomas William Ashworth
This page summarises the Hong Kong Securities and Futures Commission (SFC) public register record for Thomas William Ashworth ( ), CE reference ACQ696. Total licence records on file: 5.
Licence history
| Firm | Role | Regulated activity | From | To |
|---|---|---|---|---|
| Brooke Capital Limited |
RO | Type 4 — Advising on securities | 2011-09-30 | 2012-04-02 |
| Brooke Capital Limited |
RO | Type 9 — Asset management | 2011-09-30 | 2014-05-07 |
| Adept Capital Partners Advisers Limited | RO | Type 9 — Asset management | 2007-02-28 | 2010-12-31 |
| MIB Securities (Hong Kong) Limited 馬銀證券(香港)有限公司 |
RO | Type 1 — Dealing in securities | 2003-07-29 | 2006-07-06 |
| MIB Futures (Hong Kong) Limited 馬銀期貨(香港)有限公司 |
RO | Type 2 — Dealing in futures contracts | 2003-07-29 | 2006-07-06 |