COWPERTHWAITE Adam Aaron

CE AIB753Licensed IndividualExecutive OfficerNo active licence

COWPERTHWAITE Adam Aaron (CE number AIB753) is an individual licensed by the Hong Kong SFC. First licensed on 2003-04-01. Their SFC licence is currently not active. Accredited for regulated activities Type 1 (Securities dealing), Type 2 (Futures dealing), Type 4 (Advising on securities), Type 5 (Advising on futures), Type 6 (Corporate finance), Type 7 (Automated trading), Type 9 (Asset management).

Regulated Activities (on record) (7)

RA 1 Dealing in Securities

RA 2 Dealing in Futures Contracts

RA 4 Advising on Securities

RA 5 Advising on Futures Contracts

RA 6 Advising on Corporate Finance

RA 7 Providing Automated Trading Services

RA 9 Asset Management

Roles & Accreditations (2)

Capacity	Company / Institution
Executive Officer	Citibank (Hong Kong) Limited 花旗銀行(香港)有限公司
Executive Officer	Citibank, N.A. 花旗銀行

Licence Record (7)

2014-04-16 – 2020-01-31

Citigroup Global Markets Asia Limited Rep

RA 1 RA 2 RA 4

2010-11-20 – 2011-09-03

Daiwa Capital Markets Trading Hong Kong Limited Rep

RA 1 RA 2

2010-02-09 – 2011-09-03

Daiwa Capital Markets Hong Kong Limited Rep

RA 1 RA 2

2003-08-20 – 2009-03-30

Credit Suisse (Hong Kong) Limited Rep

RA 1 RA 2 RA 7

2003-08-20 – 2008-11-24

Credit Suisse Futures (Hong Kong) Limited Rep

RA 2 RA 7

2003-04-01 – 2003-07-18

J.P. Morgan Broking (Hong Kong) Limited Rep

RA 1 RA 4 RA 6 RA 7 RA 9

2003-04-01 – 2003-07-18

J.P. Morgan Futures Hong Kong Limited Rep

RA 2 RA 5 RA 7 RA 9

Source: SFC, HKMA and other public regulatory records · Unofficial — this site is NOT the SFC, for reference only
Official record：apps.sfc.hk publicregWeb · JSON API：/api/indi/AIB753