David John Rosa
This page summarises the Hong Kong Securities and Futures Commission (SFC) public register record for David John Rosa ( ), a licensed former licensee with CE reference AHA551. Total licence records on file: 11.
Licence history
| Firm | Role | Regulated activity | From | To |
|---|---|---|---|---|
| Bridgeway Prime Shop Fund Management Limited 盛滙商舖基金管理有限公司 |
RO | Type 1 — Dealing in securities | 2015-10-30 | 2019-05-01 |
| Bridgeway Prime Shop Fund Management Limited 盛滙商舖基金管理有限公司 |
RO | Type 4 — Advising on securities | 2013-09-06 | 2019-05-01 |
| Bridgeway Prime Shop Fund Management Limited 盛滙商舖基金管理有限公司 |
RO | Type 9 — Asset management | 2013-09-06 | 2019-05-01 |
| Citigroup Global Markets Asia Limited 花旗環球金融亞洲有限公司 |
Rep | Type 1 — Dealing in securities | present | 2012-03-30 |
| Citigroup Global Markets Hong Kong Futures and Securities Limited | Rep | Type 2 — Dealing in futures contracts | present | 2012-03-30 |
| Citigroup Global Markets Asia Limited 花旗環球金融亞洲有限公司 |
Rep | Type 4 — Advising on securities | present | 2003-10-13 |
| Citigroup Global Markets Hong Kong Futures and Securities Limited | Rep | Type 5 — Advising on futures contracts | present | 2003-10-13 |
| 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 | 2003-10-13 |
| 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 | 2003-10-13 |
| Citigroup Global Markets Asia Limited 花旗環球金融亞洲有限公司 |
Rep | Type 9 — Asset management | present | 2003-10-13 |
| Citigroup Global Markets Hong Kong Futures and Securities Limited | Rep | Type 9 — Asset management | present | 2003-10-13 |