Chow, Thomas 周少民

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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 Citigroup Global Markets Asia Limited Rep Advising on corporate finance 2005-03-18
2 Citigroup Global Markets Asia Limited Rep Advising on securities 2004-06-09
Great Wall Pan Asia Asset Management Limited Rep 2014-08-12 2015-02-10
Great Wall Pan Asia Asset Management Limited Rep 2015-04-28 2018-10-12
AVANTA INVESTMENT MANAGEMENT LIMITED RO 2020-03-13 2022-02-21
SPARC CAPITAL MANAGEMENT LIMITED RO 2023-03-03 2023-11-30
3 Citigroup Global Markets Asia Limited Rep Asset management 2004-06-09
Great Wall Pan Asia Asset Management Limited Rep 2014-08-12 2015-02-10
Great Wall Pan Asia Asset Management Limited Rep 2015-04-28 2018-10-12
AVANTA INVESTMENT MANAGEMENT LIMITED RO 2020-03-13 2022-02-21
Soul Ventures Investment Limited RO 2022-03-11 2022-12-14
SPARC CAPITAL MANAGEMENT LIMITED Rep 2023-03-02 2023-03-03
SPARC CAPITAL MANAGEMENT LIMITED RO 2023-03-03 2023-11-30
4 Citigroup Global Markets Asia Limited Rep Automated trading services 2004-06-09
5 GOLDMAN SACHS FUTURES (ASIA) LIMITED Rep Dealing in futures contracts 2008-10-20 2010-02-12
6 Citigroup Global Markets Asia Limited Rep Dealing in securities 2005-03-18
CITIGROUP GLOBAL MARKETS HONG KONG FUTURES AND SECURITIES LIMITED Rep 2004-07-08 2005-03-18
DEUTSCHE SECURITIES ASIA LIMITED Rep 2006-04-24 2008-08-30
GOLDMAN SACHS (ASIA) L.L.C. Rep 2008-09-09 2010-02-12

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