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Putnam, Stephen Peter SFC Licences and HKMA Registrations (ID 2502806)
Putnam, Stephen Peter
SFC ID:
BGN176
Key Data
Licences & registrations
Public Disciplinary Actions
SFC licenses
A person without a starting date was in that role since at least 1-Apr-2003, when the current register began.
Show old organisation names
Current only
Organisation
Role
Activity
From
Until
ST. JAMES'S PLACE (HONG KONG) LIMITED
Rep
Asset management
2020-11-06
-
Rep
Advising on securities
2015-11-20
-
Rep
Dealing in securities
2015-11-20
-
HKMA registrations
HKMA relevant-individual registrations, shown separately from SFC licences. EO means executive officer.
Current registrations only
No HKMA registrations in the collected records.