Prescott, Lewis Edward
SFC licenses
Rep=Representative, RO=Responsible Officer. A person without a starting date was in that role since at least 1-Apr-2003 when the current register began.
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| Organisation | Role | Activity | From | Until | |
|---|---|---|---|---|---|
| 1 | Citadel Asia Limited | RO | Asset management | 2023-08-14 | |
| 2 | Citigroup Global Markets Asia Limited | Rep | Dealing in securities | 2010-08-23 | 2012-11-15 |
| 3 | CITIGROUP GLOBAL MARKETS HONG KONG FUTURES AND SECURITIES LIMITED | Rep | Dealing in futures contracts | 2010-09-28 | 2012-11-15 |
| 4 | DEUTSCHE SECURITIES ASIA LIMITED | Rep | Dealing in securities | 2007-03-01 | 2009-04-21 | Rep | Dealing in futures contracts | 2007-04-30 | 2009-04-21 |
| 5 | Mingshi Investment Management Limited | RO | Asset management | 2021-09-16 | 2022-10-01 |
| 6 | MIZUHO SECURITIES ASIA LIMITED | Rep | Advising on securities | 2013-07-29 | 2014-06-12 | Rep | Dealing in securities | 2013-07-29 | 2014-06-12 |
| 7 | Nezu Asia Capital Management Limited | Rep | Asset management | 2014-09-12 | 2018-10-20 |
| 8 | OP INVESTMENT MANAGEMENT LIMITED | Rep | Asset management | 2020-03-13 | 2021-09-15 |
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