Personnel Hong Kong SFC License Details (ID 28025254)

Personnel Hong Kong SFC License Details (ID 28025254)

Key Data SFC Licenses 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
Capstone Financial (HK) Limited	Rep	Dealing in securities	2017-10-24	2020-04-17
	Rep	Advising on securities	2017-10-24	2020-06-10
	Rep	Asset management	2017-10-24	2020-06-10
ST. JAMES'S PLACE (HONG KONG) LIMITED	Rep	Advising on securities	2016-06-10	2017-08-09
	Rep	Asset management	2016-06-10	2017-08-09
	Rep	Dealing in securities	2016-06-10	2017-08-09
Capstone Financial (HK) Limited	Rep	Asset management	2015-03-05	2015-12-31
	Rep	Dealing in securities	2015-03-05	2015-12-31
	Rep	Advising on securities	2014-04-30	2015-12-31