Nicholas John Brooks
This page summarises the Hong Kong Securities and Futures Commission (SFC) public register record for Nicholas John Brooks, a licensed former licensee with CE reference BDD878. This person has 1.1 years of SFC licence history. Total licence records on file: 2.
Information
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Licence history
| Firm | Role | Regulated activity | From | To |
|---|---|---|---|---|
| Arcus Investment Asia Limited | RO | Type 4 - Advising on securities | 2014-06-09 | 2015-07-14 |
| Arcus Investment Asia Limited | RO | Type 9 - Asset management | 2014-06-09 | 2015-07-14 |
Worked alongside
The 2 closest colleagues, strongest tie first — individuals licensed at the same firm as Nicholas John Brooks 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.
| Name | Shared firm | Overlap |
|---|---|---|
| Mark Anthony Pearson | Arcus Investment Asia Limited | 2014–2015 |
| Peter John Sandham | Arcus Investment Asia Limited | 2015 |