David Jonathan Connor
This page summarises the Hong Kong Securities and Futures Commission (SFC) public register record for David Jonathan Connor ( ), a licensed former licensee with CE reference ADH898. Total licence records on file: 15.
Licence history
| Firm | Role | Regulated activity | From | To |
|---|---|---|---|---|
| SG Asset Finance (Hong Kong) Limited | Rep | Type 1 — Dealing in securities | 2010-11-30 | 2013-06-08 |
| Newedge Broker Hong Kong Limited 新際經紀香港有限公司 |
Rep | Type 2 — Dealing in futures contracts | 2010-11-30 | 2013-06-08 |
| SG Asset Finance (Hong Kong) Limited | Rep | Type 2 — Dealing in futures contracts | 2010-11-30 | 2013-06-08 |
| Barclays Capital Asia Limited 巴克萊亞洲有限公司 |
Rep | Type 1 — Dealing in securities | 2007-11-15 | 2010-07-13 |
| Barclays Capital Asia Limited 巴克萊亞洲有限公司 |
Rep | Type 2 — Dealing in futures contracts | 2007-11-15 | 2010-07-13 |
| MF Global Hong Kong Limited 明富環球香港有限公司 |
Rep | Type 1 — Dealing in securities | 2007-04-30 | 2007-06-11 |
| MF Global Securities HK Limited 明富環球證券香港有限公司 |
Rep | Type 1 — Dealing in securities | 2005-12-12 | 2007-04-30 |
| MF Global Hong Kong Limited 明富環球香港有限公司 |
Rep | Type 2 — Dealing in futures contracts | 2005-12-12 | 2007-06-11 |
| Credit Agricole Securities (Asia) Limited 東方匯理證券(亞洲)有限公司 |
Rep | Type 1 — Dealing in securities | present | 2005-07-26 |
| RBS Asia Securities (Hong Kong) Limited 蘇皇證券亞洲(香港)有限公司 |
Rep | Type 1 — Dealing in securities | present | 2005-02-04 |
| RBS Asia Futures Limited 蘇皇金融期貨亞洲有限公司 |
Rep | Type 2 — Dealing in futures contracts | present | 2005-07-26 |
| RBS Asia Futures Limited 蘇皇金融期貨亞洲有限公司 |
Rep | Type 5 — Advising on futures contracts | present | 2004-06-08 |
| Credit Agricole Securities (Asia) Limited 東方匯理證券(亞洲)有限公司 |
Rep | Type 9 — Asset management | present | 2004-06-08 |
| RBS Asia Futures Limited 蘇皇金融期貨亞洲有限公司 |
Rep | Type 9 — Asset management | present | 2004-06-08 |
| RBS Asia Securities (Hong Kong) Limited 蘇皇證券亞洲(香港)有限公司 |
Rep | Type 9 — Asset management | present | 2004-06-08 |