Mumford, Robert Vyvyan
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 | Carret Private Capital Limited | Rep | Asset management | 2017-01-09 | 2017-03-02 | RO | Asset management | 2017-03-02 | 2017-06-16 |
| 2 | Credit Suisse (Hong Kong) Limited | Rep | Dealing in securities | 2005-08-15 | 2008-05-09 |
| 3 | Credit Suisse Futures (Hong Kong) Limited | Rep | Automated trading services | 2007-08-24 | 2008-05-09 | Rep | Dealing in futures contracts | 2007-08-24 | 2008-05-09 |
| 4 | Credit Suisse Securities (Hong Kong) Limited | Rep | Dealing in securities | 2005-08-15 | 2008-05-09 |
| 5 | Deltroit (Hong Kong) Limited | Rep | Advising on securities | 2011-04-04 | 2011-05-31 | Rep | Asset management | 2011-04-04 | 2011-05-31 | RO | Advising on securities | 2011-05-31 | 2012-12-17 | RO | Asset management | 2011-05-31 | 2012-12-17 |
| 6 | GAM HONG KONG LIMITED | Rep | Asset management | 2018-12-03 | 2019-06-12 | Rep | Advising on securities | 2018-12-31 | 2019-06-20 | RO | Asset management | 2019-06-12 | RO | Advising on securities | 2019-06-20 |
| 7 | MACQUARIE CAPITAL LIMITED | Rep | Dealing in securities | 2004-07-27 | 2005-06-27 |
| 8 | MCM INVESTMENT PARTNERS LIMITED | RO | Asset management | 2017-11-16 | 2018-09-05 |
| 9 | MIRABAUD (ASIA) LIMITED | Rep | Advising on securities | 2013-05-09 | 2013-11-20 | Rep | Dealing in securities | 2013-05-09 | 2013-11-20 | RO | Advising on securities | 2013-11-20 | 2015-01-01 | RO | Dealing in securities | 2013-11-20 | 2015-01-01 |
| 10 | Shangding International Asset Management Company Limited | Rep | Asset management | 2015-02-05 | 2015-09-04 | RO | Asset management | 2015-09-04 | 2016-07-01 |
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