Andrew Jeremy Swarbrick
This page summarises the Hong Kong Securities and Futures Commission (SFC) public register record for Andrew Jeremy Swarbrick ( ), a licensed former licensee with CE reference AFF234. Total licence records on file: 21.
Licence history
| Firm | Role | Regulated activity | From | To |
|---|---|---|---|---|
| CLSA Limited 中信里昂證券有限公司 |
Rep | Type 1 — Dealing in securities | 2019-03-18 | 2022-12-14 |
| Nomura International (Hong Kong) Limited 野村國際(香港)有限公司 |
Rep | Type 2 — Dealing in futures contracts | 2017-12-27 | 2019-01-29 |
| Nomura International (Hong Kong) Limited 野村國際(香港)有限公司 |
Rep | Type 1 — Dealing in securities | 2017-11-20 | 2019-01-29 |
| HSBC Securities Brokers (Asia) Limited 滙豐證券經紀(亞洲)有限公司 |
Rep | Type 1 — Dealing in securities | 2009-12-14 | 2017-08-26 |
| Giga (Hong Kong) Limited | Rep | Type 9 — Asset management | 2007-06-11 | 2009-10-05 |
| Giga (Hong Kong) Limited | Rep | Type 4 — Advising on securities | 2007-05-07 | 2009-10-05 |
| J.P. Morgan Broking (Hong Kong) Limited | Rep | Type 2 — Dealing in futures contracts | 2003-12-06 | 2007-02-08 |
| J.P. Morgan Broking (Hong Kong) Limited | Rep | Type 5 — Advising on futures contracts | 2003-12-06 | 2007-02-08 |
| J.P. Morgan Securities (Far East) Limited | Rep | Type 4 — Advising on securities | 2003-09-17 | 2007-02-08 |
| J.P. Morgan Broking (Hong Kong) Limited | Rep | Type 1 — Dealing in securities | present | 2007-02-08 |
| J.P. Morgan Securities (Far East) Limited | Rep | Type 1 — Dealing in securities | present | 2007-02-08 |
| J.P. Morgan Futures Hong Kong Limited |
Rep | Type 2 — Dealing in futures contracts | present | 2003-12-06 |
| J.P. Morgan Broking (Hong Kong) Limited | Rep | Type 4 — Advising on securities | present | 2007-02-08 |
| J.P. Morgan Futures Hong Kong Limited |
Rep | Type 5 — Advising on futures contracts | present | 2003-12-06 |
| J.P. Morgan Broking (Hong Kong) Limited | Rep | Type 6 — Advising on corporate finance | present | 2003-09-13 |
| J.P. Morgan Securities (Far East) Limited | Rep | Type 6 — Advising on corporate finance | present | 2003-09-13 |
| J.P. Morgan Securities (Far East) Limited | Rep | Type 7 — Providing automated trading services | present | 2005-02-15 |
| J.P. Morgan Broking (Hong Kong) Limited | Rep | Type 7 — Providing automated trading services | present | 2003-09-13 |
| J.P. Morgan Futures Hong Kong Limited |
Rep | Type 7 — Providing automated trading services | present | 2003-09-13 |
| J.P. Morgan Broking (Hong Kong) Limited | Rep | Type 9 — Asset management | present | 2003-09-13 |
| J.P. Morgan Futures Hong Kong Limited |
Rep | Type 9 — Asset management | present | 2003-09-13 |