Kam, Stephen Cheuk Hang 甘卓亨
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 | CLSA FUTURES LIMITED | Rep | Dealing in futures contracts | 2009-07-20 | 2010-01-13 |
2 | CLSA LIMITED | Rep | Dealing in securities | 2009-07-20 | 2010-01-13 |
3 | Halbis Capital Management (Hong Kong) Limited | Rep | Advising on futures contracts | 2005-08-08 | 2007-03-20 | Rep | Advising on securities | 2005-08-08 | 2007-03-20 | Rep | Asset management | 2005-08-08 | 2007-03-20 |
4 | HSBC Global Asset Management (Hong Kong) Limited | Rep | Advising on futures contracts | 2004-07-21 | 2007-03-20 | Rep | Advising on securities | 2004-07-21 | 2007-03-20 | Rep | Asset management | 2004-07-21 | 2007-03-20 | Rep | Advising on securities | 2015-08-21 | 2018-10-04 | Rep | Asset management | 2015-08-21 | 2018-10-04 | Rep | Dealing in securities | 2015-08-21 | 2018-10-04 |
5 | HSBC INVESTMENT FUNDS (HONG KONG) LIMITED | Rep | Advising on securities | 2015-08-21 | 2018-10-04 | Rep | Asset management | 2015-08-21 | 2018-10-04 | Rep | Dealing in securities | 2015-08-21 | 2018-10-04 |
6 | Merrill Lynch (Asia Pacific) Limited | Rep | Dealing in securities | 2007-03-27 | 2009-05-20 |
7 | Merrill Lynch Far East Limited | Rep | Dealing in securities | 2007-03-27 | 2009-05-20 |
8 | MERRILL LYNCH FUTURES (HONG KONG) LIMITED | Rep | Dealing in futures contracts | 2008-05-16 | 2009-05-20 |
9 | SCHRODER INVESTMENT MANAGEMENT (HONG KONG) LIMITED | Rep | Advising on securities | 2018-11-01 | Rep | Asset management | 2018-11-01 | Rep | Dealing in securities | 2018-11-01 |
10 | Standard Chartered Securities (Hong Kong) Limited | Rep | Advising on securities | 2010-04-28 | 2015-01-08 | Rep | Dealing in securities | 2010-04-28 | 2015-01-08 |
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