Richard Aelred Sparrow
This page summarises the Hong Kong Securities and Futures Commission (SFC) public register record for Richard Aelred Sparrow, a licensed Representative with CE reference AFK790. Currently licensed at 1 firm(s): Jefferies Hong Kong Limited. Active regulated activities: Type 1 - Dealing in securities. Total licence records on file: 20.
Licence history
| Firm | Role | Regulated activity | From | To |
|---|---|---|---|---|
| Jefferies Hong Kong Limited 富瑞金融集團香港有限公司 |
Rep | Type 1 - Dealing in securities | 2023-09-05 | present |
| Credit Suisse (Hong Kong) Limited 瑞士信貸(香港)有限公司 |
Rep | Type 1 - Dealing in securities | 2019-01-16 | 2023-06-23 |
| Credit Suisse Securities (Hong Kong) Limited 瑞士信貸證券(香港)有限公司 |
Rep | Type 1 - Dealing in securities | 2019-01-16 | 2023-06-23 |
| Credit Suisse (Hong Kong) Limited 瑞士信貸(香港)有限公司 |
Rep | Type 2 - Dealing in futures contracts | 2019-01-16 | 2023-06-23 |
| Credit Suisse Securities (Hong Kong) Limited 瑞士信貸證券(香港)有限公司 |
Rep | Type 7 - Providing automated trading services | 2019-01-16 | 2023-06-23 |
| Macquarie Capital Limited 麥格理資本股份有限公司 |
Rep | Type 1 - Dealing in securities | 2015-03-23 | 2018-08-27 |
| Macquarie Capital Limited 麥格理資本股份有限公司 |
Rep | Type 7 - Providing automated trading services | 2015-03-23 | 2018-08-27 |
| BNP Paribas Securities (Asia) Limited 法國巴黎證券(亞洲)有限公司 |
Rep | Type 2 - Dealing in futures contracts | 2011-09-15 | 2013-09-16 |
| BNP Paribas Futures (Hong Kong) Limited 法國巴黎期貨(香港)有限公司 |
Rep | Type 2 - Dealing in futures contracts | 2010-05-20 | 2011-12-30 |
| BNP Paribas Securities (Asia) Limited 法國巴黎證券(亞洲)有限公司 |
Rep | Type 1 - Dealing in securities | 2010-04-20 | 2013-09-16 |
| BNP Paribas Securities (Asia) Limited 法國巴黎證券(亞洲)有限公司 |
Rep | Type 7 - Providing automated trading services | 2010-04-20 | 2013-09-16 |
| Citigroup Global Markets Hong Kong Futures and Securities Limited | Rep | Type 1 - Dealing in securities | 2003-10-17 | 2007-08-01 |
| Citigroup Global Markets Asia Limited 花旗環球金融亞洲有限公司 |
Rep | Type 1 - Dealing in securities | present | 2007-08-01 |
| Citigroup Global Markets Hong Kong Futures and Securities Limited | Rep | Type 2 - Dealing in futures contracts | present | 2007-08-01 |
| Citigroup Global Markets Asia Limited 花旗環球金融亞洲有限公司 |
Rep | Type 4 - Advising on securities | present | 2003-10-10 |
| Citigroup Global Markets Hong Kong Futures and Securities Limited | Rep | Type 5 - Advising on futures contracts | present | 2003-10-10 |
| Citigroup Global Markets Asia Limited 花旗環球金融亞洲有限公司 |
Rep | Type 6 - Advising on corporate finance | present | 2003-10-10 |
| Citigroup Global Markets Asia Limited 花旗環球金融亞洲有限公司 |
Rep | Type 7 - Providing automated trading services | present | 2003-10-10 |
| Citigroup Global Markets Asia Limited 花旗環球金融亞洲有限公司 |
Rep | Type 9 - Asset management | present | 2003-10-10 |
| Citigroup Global Markets Hong Kong Futures and Securities Limited | Rep | Type 9 - Asset management | present | 2003-10-10 |