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Our History

ASW History

With over 100 years trading experience between our team and innovative individuals, we have packed a lot in to our 32 year history. With a recent move towards focusing on Managed Programs for Retail Investors, over 2020 we will build our online presence and help to educate investors on to the inner workings of the markets.

 

2020/09/29

ASW Portfolio Multiple Asset Class fund produces 6.25% net return short / long leveraged ETF trades

2020/06/21

All offices reopen with strict COVID 19 safety and health measures in place.

2020/06/06

ASW Portfolio Multiple Asset Class fund produces 5.40% net return short / long leveraged ETF trades – month of May.

2020/05/02

ASW Portfolio Multiple Asset Class fund produces 8.90% net return – shorting market volatility via leveraged ETF’s  – month of April.

2020/04/11

ASW Portfolio Multiple Asset Class fund produces 6.70% net return – shorting market conditions via leveraged ETF’s –month of March.

2020/04/07

‘’ALGO’’ trading software parameters on sell side trades changed to factor in extreme market volatility and price swings.

2020/04/04

Record withdrawals from client trading and investment accounts as result of COVID-19 pandemic.

2020/03/29

All offices close as consequence of COVID -19 pandemic. Trading security measures implemented for all work at home traders.

2020/03/25

David Sterling changes trading tactics and strategies on sell side trades across multiple sectors to factor in COVID -19 market and economic consequences.

2020/03/01

ASW Portfolio Multiple Asset Class fund produces 1.23% net return for month of February.

2020/02/19

Lower Manhattan location servers upgraded.

2020/02/16

New York office ORS upgraded.

2020/02/07

Trading ‘’ ALGO’’ software updated for both plain vanilla and leveraged trades on buy side and sell side across all trading desks.

2020/02/04

ASW Portfolio Multiple Asset Class fund produces 5.55% net loss for month of January.

2020/02/03

Board of Directors decide to change trading name to ASW

2020/01/26

David Sterling revises and amends TTP discourse materials.

2020/01/15

ASW Portfolio Multiple Asset Class fund produces 4.24% net return for December closing out the year with 45.41% annual net return.

2020/01/11

Data collection and processing procedures reviewed in line with GDPR legislation.

2019/12/09

ASW Portfolio Multiple Asset Class fund produces 1.35% net return for month of November.

2019/12/02

David Sterling reviews and updates daily risk management trading strategies.

2019/11/17

Launch of PSP to retail investors.

2019/11/04

ASW Portfolio Multiple Asset Class fund produces 1.69% net return for month of October.

2019/11/03

Upgrades implemented across all trading desks ’’ALGO’’ trading software.

2019/10/26

AML and CT processes and procedures reviewed and amended by Compliance and Accounts Departments.

2019/10/09

ASW Portfolio Multiple Asset Class fund produces 2.35% net loss for month of September.

2019/10/04

Further upgrades implemented to New York office.

2019/10/03

Digital Market News Feeds updated.

2019/10/01

Quotation Level Two price data feeds updated.

2019/09/17

Board of Directors consider a change of trading name to Alpha-sw.com

2019/09/01

ASW Portfolio Multiple Asset Class fund produces a record 11.26% net return. for month of August.

2019/08/02

ASW Portfolio Multiple Asset Class fund produces 3.54% net return for month of July.

2019/07/29

New Representative Agreement signed and our new sales office in Edinburgh opens to allow ASW to start building our EU  retail client book

2019/07/23

Upgrades implemented to New York office ORS.

2019/07/07

ASW Portfolio Multiple Asset Class fund produces 4.65% net return for month of June.

2019/07/02

WTI crude oil futures trading hits second highest monthly profits on record.

2019/06/14

ASW Portfolio Multiple Asset Class fund produces 2.33% net return for month of May.

2019/05/26

New ORS installed in New York office.

2019/05/15

New co-location servers installed in Lower Manhattan.

2019/05/02

ASW Portfolio Multiple Asset Class fund produces 1.69% net loss for month of April.

2019/04/29

Second batch of students under Traders Education Program complete discourses and course work.

2019/04/27

David Sterling commences publishing the Daily Market Call.

2019/04/03

Upgrades implemented across all trading desks ‘’ALGO’’ trading software.

2019/04/01

ASW Portfolio Multiple Asset Class fund produces 3.47% net return for month of March.

2019/03/02

ASW Portfolio Multiple Asset Class fund produces 1.56% net return for month of February.

2019/02/23

WTI crude oil futures trading hits highest monthly profits ever.

2019/02/21

ASW considers  options and locations to open a sales office in Germany or the   UK to enter the EU private retail investor market.

2019/02/17

Traded Options desk record highest profits ever for Q-4 2018.

2019/02/01

ASW Portfolio Multiple Asset Class fund produces 8.76% net return for month of January.

2019/01/12

New ORS installed in New York office.

2019/01/05

ASW Portfolio Multiple Asset Class fund produces 4.35% net return for month of December.

2018/12/17

ORS / CATS / LLTS all upgraded to increase speed of trade execution.

2018/12/02

ASW Portfolio Multiple Asset Class fund produces 2.56% net loss for month of November.

2018/11/09

Compliance and Accounts Department alters banking procedures in line with MIFID 2.

2018/11/04

ASW Portfolio Multiple Asset Class fund produces 3.65% net return for month of October.

2018/10/01

ASW Portfolio Multiple Asset Class fund produces 5.35% net return for month of September.

2018/09/01

ASW Portfolio Multiple Asset Class fund produces 4.80% net return for month of August.

2018/08/02

ASW Portfolio Multiple Asset Class fund produces 1.25% net loss for month of July.

2018/07/23

Further six students commence studies under ASW Trading Institute

2018/07/02

ASW Portfolio Multiple Asset Class Investment fund produces 3.40% net return for month of June.

2018/06/15

Proprietary trading activities take a big loss across traded options floor.

2018/06/13

Preliminary work starts on potential P to P Cayman Island Registered Hedge Fund based on ‘’ ALGO’’ trading across various asset classes.

2018/06/01

ASW Portfolio Multiple Asset Class investment fund produces 2.25% net return for month of May.

2018/05/01

ASW Portfolio Multiple Asset Class investment fund produces 5.12% net return for month of April.

2018/04/06

First students under Traders Trading Program complete the course with flying colours.

2018/04/01

ASW Portfolio Multiple Asset Class investment fund produces 2.83% net return for month of March.

2018/03/05

LLTS and CATS systems interlinked between Co location server office in Lower Manhattan and NYC office.

2018/03/01

ASW Portfolio Multiple Asset Class investment fund produces 3.50% net loss for month of February.

2018/02/12

David Sterling relocates to New York office.

2018/02/11

New York office technology upgraded.

2018/02/01

ASW Portfolio Multiple Asset Class investment fund produces 2.66% net return for month of January.

2018/01/03

MP’s rolled out to market for retail investor participation.

2017/12/01

ASW Portfolio Multiple Asset Class investment fund produces 8.58% net return for month of November.

2017/11/24

Compliance Department approves marketing materials for MP’s.

2017/11/09

Marketing Department commences preparation of marketing materials for MPs.

2017/11/06

Upgrades implemented to all ‘’ALGO’’ trading software.

2017/11/02

ASW Portfolio Multiple Asset class investment fund produces 0.36% net loss for month of October.

2017/10/29

Hong Kong Regulator approves MP’s terms and conditions with green light to roll out to market.

2017/10/23

Chubb issues underwriting insurance policy for MP’s.

2017/10/02

ASW Portfolio Multiple Asset class investment fund produces 1.98% net return for month of September.

2017/09/29

Co-location server offices opened in Lower Manhattan.

2017/09/27

DMA to four USA exchanges granted.

2017/09/07

Further upgrades implemented to all ‘’ ALGO’’ trading software.

2017/09/01

ASW Portfolio Multiple asset class investment fund produces 5.66 % net loss for month of August.

2017/08/19

Amended Terms and Conditions for MPs forwarded to Hong Kong Regulator for approval.

2017/08/11

CHUBB agree to underwrite fixed returns offered under various MP’s.

2017/08/01

ASW Portfolio Multiple asset class investment fund produces 0.27% net return for month of July.

2017/07/19

ASW office welcomes Martin Curtis as David Sterling’s assistant.

2017/07/14

Terms and Condition for MP’s to retail investors and forwards the same to Hong Kong Regulator for Approval.

2017/07/02

ASW Portfolio Multiple asset class investment fund produces 0.45% return for month of June.

2017/06/07

‘’ Algo’’ trading software upgraded with tighter risk management parameters.

2017/06/04

Negotiations start with CHUBB concerning underwriting fixed monthly returns for various MTFA’s to retail investors.

2017/06/01

ASW Portfolio multiple asset class investment fund produces 3.10% net loss for month of May.

2017/05/03

ASW Portfolio multiple asset class investment fund produces 2.25% net return for month of April.

2017/05/01

Discussions re –start with CHUBB concerning bespoke insurance policies for retail investor market Managed Programs.

2017/04/19

Communication commences with Hong Kong regulators regarding issuance of various Managed Programs to retail investors.

2017/04/03

ASW Portfolio multiple asset class investment fund produces 1.37% net return for month of March.

2017/04/01

First six Trader Education Program students accepted.

2017/03/01

ASW Portfolio multiple asset class investment fund produces 3.85% net loss for month of February.

2017/02/01

ASW Portfolio multiple asset class investment fund produces 7.36% net return for month of January.

2017/01/31

Direct marketing on-line and off-line strategies in respect of Traders Education Programs launched worldwide.

2017/01/03

ASW Portfolio multiple asset class investment fund produces 0.78% net return for month of December.

2016/12/01

ASW Portfolio multiple asset class investment fund produces 8.56% net return for month of November.

2016/11/03

‘’ALGO’’ trading software upgraded encompassing updated trading strategies and market entry points amended criteria.

2016/11/01

ASW Portfolio multiple asset class investment fund produces a 0.36% net loss for month of October.

2016/10/01

ASW Portfolio multiple asset class investment fund produces 1.98% net return for the month of September.

2016/09/03

Market entry points criteria reviewed and changed in line with volatile market action.

2016/09/01

Direct marketing strategies in respect of Traders Institute passed to Marketing and Sales Department.

2016/09/01

ASW Portfolio multiple asset class investment fund produces a 5.66% net loss for the month of August.

2016/08/01

ASW Portfolio multiple asset class investment fund produces 0.27% net return for month of July.

2016/07/14

Traders Institute Program discourse papers and course materials approved by counsel.

2016/07/09

Annual Accounts issued for trading year ending 30/06/2016 covering all company operational, trading and investment activities.

2016/07/01

ASW Portfolio multiple asset class investment fund produces a 3.87% net return for month of June.

2016/06/05

David Sterling together with Heads of Trading Desks review and implement advanced trading strategies across all operation trading activities.

2016/06/01

ASW Portfolio multiple asset class investment fund produces a 1.23% net loss for month of May.

2016/05/01

ASW Portfolio multiple asset class investment fund produces 1.36% net return for month of April.

2016/04/06

First students under Traders Institute complete the course with flying colours.

2016/04/04

‘’ ALGO’’ trading software across all front trading desks upgraded.

2016/04/01

ASW Portfolio multiple asset class investment fund produces 0.77% net return for month of March.

2016/03/16

DMA to various USA Exchanges for both buy and sell side trades nearing completion.

2016/03/11

Traders Institute discourse papers and course materials drafted and produced to counsel for approved.

2016/03/01

ASW Portfolio multiple asset class investment fund produces 0.53% net return for month of February.

2016/02/04

David Sterling conducts a thorough review of risk management strategies for all trading activities.

2016/02/01

ASW Portfolio multiple asset class investment fund produces 2.51% net return for month of January.

2016/01/01

ASW Portfolio multiple asset class investment fund produces a record 10.20% net return for the month of December.

2015/12/05

‘’ ALGO’’ trading software upgraded in line with David Sterling’s and Chief Equity and Commodity traders updated trading strategies.

2015/12/03

David Sterling together with heads of trading desks for Equities and Commodities/ plain vanilla and leveraged review and implement updated trading strategies.

2015/12/01

ASW Portfolio multiple asset class investment fund produces 8.90% net loss for month of November.

2015/11/01

ASW Portfolio multiple asset class investment fund produces 1.50% net return for month of October.

2015/09/19

David Sterling undertakes a full assessment of risk management investment and trading activities across all trading and investment activities.

2015/09/12

Agreement Reached withCHUBB to defer underwriting proposals.

2015/09/01

ASW Portfolio multiple asset class investment fund produces 4.05% net return for month of August.

2015/08/19

Discussions with CHUBB begin concerning underwriting proposed fixed income returns via multiple managed programs funds.

2015/08/01

ASW Portfolio multiple asset class investment fund produces 2.98% net return for month of July.

2015/08/01

Annual Accounts for trading year ending 30/06/2015 issued covering all company operational, trading and investment activities.

2015/07/01

ASW Portfolio multiple asset class investment fund produces 3.62% net loss for month of June.

2015/06/01

ASW Portfolio multiple asset class investment fund produces 3.57% net return for the month of May.

2015/05/08

Further upgrades to trading ‘ALGOS’’ conducted across all asset classes.

2015/05/03

David Sterling implements updated trading strategies across all asset classes traded.

2015/05/01

ASW Portfolio multiple asset class investment fund produces 7.38% net loss for month of April.

2015/04/01

ASW Portfolio multiple asset class investment fund produces 1.25% net loss for month of March.

2015/03/01

ASW Portfolio multiple asset class investment fund produces 3.89% net return for month of February.

2015/02/11

Early stage preparation work commences on a Traders Institute.

2015/02/01

ASW Portfolio multiple asset class investment fund produces 2.25% net return for month of January.

2015/01/26

Legal and Compliance Departments commence DMA to various USA exchanges research.

2015/01/01

ASW Portfolio multiple asset class investment fund produces 0.66% net return for month of December.

2014/12/01

ASW Portfolio multiple asset class investment fund produces 2.34% net return for month of November.

2014/11/17

Priya Khatri Joins as Head Managed Programmes / Anatoly Ivanov Joins as Head Software Engineer.

2014/11/10

Susan Lau Joins as Chief Compliance Officer (APAC) / Sarah Dunne Joins as Chief Compliance Officer US.

2014/11/03

Amara Patel Joins as Head  of Asset Management / Adam Schulz Joins as Head of Wealth Management.

2014/11/01

ASW Portfolio multiple asset class investment fund produces 0.20% net loss for month of October.

2014/10/28

Mohammed Mishtra joins as Head of Alternative Investments.

2014/10/21

-James Rubenstein joins ourtrading desk.

2014/10/03

Upgrades implemented to ETF ‘’ ALGO’’ trading strategies.

2014/10/01

ASW Portfolio multiple asset class investment fund produces 0.20% net return for month of September

2014/09/08

Human Resources and Recruitment Department officially opens.

2014/09/06

Preliminary market research conducted with a view to rolling out multiple asset class returns through various managed investment trading fund accounts.

2014/09/01

ASW Portfolio multiple asset class investment fund produces 1.59% return for month of August.

2014/08/04

Further upgrades implemented to all ‘’ ALGO’’ trading strategies.

2014/08/01

ASW Portfolio multiple asset class investment fund produces 3.59% net loss for month of July.

2014/07/30

Annual Accounts for trading year ending 30/06/2014 issued.

2014/07/01

ASW Portfolio multiple asset class investment fund produces 1.69% net return for month of June.

2014/06/03

‘’ ALGO ‘’ trading strategies reviewed, tweaked and upgraded.

2014/05/31

ASW Portfolio multiple asset class investment fund produces 0.75% net loss for month of May.

2014/04/30

ASW Portfolio multiple asset class investment fund produces 4.25 % net loss for month of April.

2014/03/31

ASW Portfolio multiple asset class investment fund produces 4.56% net loss for month of March.

2014/02/28

ASW Portfolio multiple asset class investment fund produces 1.20% net return for month of February

2014/02/02

ASW Portfolio multiple asset class investment fund rolled out to market for retail investors only.

2014/02/01

Professional Insurance Indemnity policy signed for all trading activitities.

2014/01/21

ASW Portfolio multiple asset class private investment fund listed with Fundpeak – ctadatabase.fundpeak.com

2013/11/11

Re-designed HFT & modified ‘’ ALGO’’ trading platforms rolled out in true live market trading conditions.

2013/08/19

Both USA and Hong Kong counsel approve ASW Portfolio multiple asset class ASCL ASW portfolio investment fund for public retail investor consumption.

2013/07/07

Further back testing continues on re-designed HFT & ‘’ ALGO’’ trading hardware and software.

2013/04/04

Re-designed HFT & modified ‘’ ALGO’’ trading hardware and software commences back testing.

2013/03/11

David Sterling engaged on a consultancy basis to provide advice vis a vis ASW Ltd launching ASW Portfolio multiple asset class base PIF

2012/09/13

HFT and ‘’ ALGO’’ proprietary trading put on ice pending further Research and Development both In-House and Out-Sourced.

2012/02/26

HFT and ‘’ ALGO’’ trading software fully back tested and rolled out for proprietary trading activities only.

2011/08/03

HFT and ‘’ ALGO’’ trading software codes re-modified and further back testing continues.

2011/07/30

Annual Accounts issued for trading year ending 30/06/2011 covering regulated operational activities conducted under Type 1 license in addition to proprietary.

2011/04/08

Back testing commences on HFT and ‘’ ALGO’’ trading software.

2010/12/31

Half year losses recorded under proprietary investment activities as a consequence of In-House funding towards HFT and ‘’ ALGO’’ trading platforms.

2010/12/17

Stage two Research and Development commences on HFT and ‘’ALGO’’ trading platforms.

2010/09/06

Early stage Research and Development commences on HFT and ‘’ ALGO’’ trading platforms.

2010/07/30

Annual Accounts issued for trading year ending 30/06/2010.

2010/02/15

Refinancing Agreement dated 14th February 2009 to sum of $ 50,000,000.00 settled in full together with interest thereon.

2009/07/30

Annual Accounts issued for trading year ending 30/06/2009.

2009/02/14

Refinancing Agreement to sum of $ 50,000,000.00 signed off by Board of Directors.

2008/07/30

Annual Accounts issued for trading year ending 30/06/2008.

2007/07/30

Annual Accounts issued for trading year ending 30/06/2007

2003/05/30

In-House Legal Department established.

2003/05/11

Compliance Departments established together with Treasury, Accounts & IT Departments.

2006/07/30

Annual Accounts issued for trading year ending 30/06/2006.

2003/06/19

Trading desks and supporting digital infrastructure rolled out.

2003/04/01

Hong Kong, SFC grants Alpha Securities & Wealth with appropriate regulatory licenses.

2003/01/27

Directors file application with Hong Kong regulators for appropriate regulatory licenses.

 
 
 
 
 
 
 
 
 
 
 
 
 
 
 

2020/07/03

ASW Portfolio Multiple Asset Class fund produces 7.30% net return short / long leveraged ETF trades 

2020/08/15

We build our new business development team in Edinburgh and look to recruit 2 new traders for our ASW trader Institutute in New York

2020/09/15

We launch our newly designed website on our new domain alpha-sw.com with our new social media accounts bringing us in to the 21st century

2020/08/18

Our new news portal asw.news goes live, bringing the news our teams find newsworthy direct to you.