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BROWNING John Leonard

CE AQF043Licensed IndividualResponsible OfficerSFO licence active
Official SFC record

BROWNING John Leonard (CE number AQF043) is an individual licensed by the Hong Kong SFC. First licensed on 2008-01-03. Their SFC licence is currently active. Accredited for regulated activities Type 2 (Futures dealing), Type 5 (Advising on futures), Type 7 (Automated trading), Type 9 (Asset management). Currently a responsible officer at 2 firms.

Regulated Activities (on record) (4)

RA 2 Dealing in Futures Contracts
RA 5 Advising on Futures Contracts
RA 7 Providing Automated Trading Services
RA 9 Asset Management

Roles & Accreditations (2)

CapacityCompany / Institution
Responsible OfficerBANDS Capital Management Limited
磐石資產管理有限公司
Responsible OfficerBANDS Financial Limited
磐石金融有限公司

Licence Record (8)

2023-12-13 – present Current
BANDS Capital Management Limited RO
RA 9
2015-10-13 – present Current
BANDS Financial Limited RO
RA 2 RA 5
2012-10-10 – 2015-03-12
Jefferies Hong Kong Limited Rep
RA 2
2012-09-27 – 2012-11-30
Jefferies Bache (Hong Kong) Limited Rep
RA 2
2008-10-13 – 2012-06-22
SG Asset Finance (Hong Kong) Limited Rep
RA 2
2008-07-02 – 2012-06-22
Newedge Broker Hong Kong Limited Rep
RA 2
2008-07-02 – 2009-07-31
Newedge Broker Limited Rep
RA 2 RA 7
2008-01-03 – 2008-06-30
Bear Stearns Asia Limited Rep
RA 2

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/AQF043