Daniel John Rose
This page summarises the Hong Kong Securities and Futures Commission (SFC) public register record for Daniel John Rose, a licensed Responsible Officer with CE reference AYA429. Currently licensed at 2 firm(s): MCM Asia Limited, MCM Investment Partners Limited. Active regulated activities: Type 1 - Dealing in securities; Type 4 - Advising on securities; Type 9 - Asset management. This person has 11.4 years of SFC licence history. Total licence records on file: 12.
Information
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Licence history
| Firm | Role | Regulated activity | From | To |
|---|---|---|---|---|
| MCM Asia Limited (以曼睿資本名義經營業務) |
RO | Type 1 - Dealing in securities | 2023-11-21 | present |
| MCM Asia Limited (以曼睿資本名義經營業務) |
RO | Type 4 - Advising on securities | 2023-11-21 | present |
| MCM Investment Partners Limited (以曼睿資管名義經營業務) |
RO | Type 9 - Asset management | 2023-11-21 | present |
| MCM Asia Limited (以曼睿資本名義經營業務) |
Rep | Type 1 - Dealing in securities | 2023-03-30 | 2023-11-21 |
| MCM Asia Limited (以曼睿資本名義經營業務) |
Rep | Type 4 - Advising on securities | 2023-03-30 | 2023-11-21 |
| MCM Investment Partners Limited (以曼睿資管名義經營業務) |
Rep | Type 9 - Asset management | 2023-03-30 | 2023-11-21 |
| VTB Capital Hong Kong Limited | RO | Type 1 - Dealing in securities | 2020-06-29 | 2022-05-31 |
| VTB Capital Hong Kong Limited | RO | Type 4 - Advising on securities | 2020-06-29 | 2022-05-31 |
| VTB Capital Hong Kong Limited | RO | Type 6 - Advising on corporate finance | 2020-06-29 | 2022-05-31 |
| VTB Capital Hong Kong Limited | RO | Type 9 - Asset management | 2019-01-04 | 2022-05-31 |
| SG Securities (HK) Limited 法國興業證券(香港)有限公司 |
Rep | Type 2 - Dealing in futures contracts | 2013-03-01 | 2017-10-10 |
| SG Securities (HK) Limited 法國興業證券(香港)有限公司 |
Rep | Type 2 - Dealing in futures contracts | 2011-09-14 | 2011-09-16 |
Worked alongside
The 20 closest colleagues, strongest tie first — individuals licensed at the same firm as Daniel John Rose during overlapping periods. Ranked by how long they overlapped and how similar their regulated activities were, with shared time at a smaller firm weighted more than at a large one. See the detailed formula.