Jones, Richard Evan
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 | ASIA PACIFIC INVESTMENT ADVISORS LIMITED | Rep | Advising on securities | 2006-12-15 | 2007-04-27 | Rep | Asset management | 2006-12-15 | 2007-04-27 |
2 | CBH Asia Limited | Rep | Advising on securities | 2003-10-27 | 2004-07-02 | Rep | Asset management | 2003-10-31 | 2004-07-02 | Rep | Advising on securities | 2005-02-22 | 2006-11-10 | Rep | Asset management | 2005-02-25 | 2006-11-10 | Rep | Advising on securities | 2007-05-23 | 2007-09-04 | Rep | Asset management | 2007-05-23 | 2007-09-04 | RO | Advising on securities | 2007-09-04 | 2011-08-31 | RO | Asset management | 2007-09-04 | 2011-08-31 | RO | Dealing in securities | 2010-09-24 | 2011-08-31 | RO | Advising on securities | 2012-02-24 | 2018-10-04 | RO | Asset management | 2012-02-24 | 2018-10-04 | RO | Dealing in securities | 2012-02-24 | 2018-10-04 |
3 | DELTA ASIA SECURITIES LIMITED | Rep | Advising on securities | 2004-07-09 | 2005-01-24 |
4 | HOLBORN LIMITED | RO | Advising on securities | 2024-09-12 | RO | Asset management | 2024-09-12 |
5 | MA Asset Management (Hong Kong) Limited | RO | Dealing in securities | 2021-09-21 | 2022-10-21 |
6 | Progeny (Hong Kong) Limited | Rep | Advising on securities | 2018-10-15 | 2018-10-22 | Rep | Dealing in securities | 2018-10-15 | 2018-10-22 | RO | Advising on securities | 2018-10-22 | 2019-04-16 | RO | Dealing in securities | 2018-10-22 | 2019-04-16 |
7 | PYRMONT WEALTH MANAGEMENT LIMITED | Rep | Advising on securities | 2019-05-21 | 2019-06-10 | Rep | Asset management | 2019-05-21 | 2019-06-10 | RO | Advising on securities | 2019-06-10 | 2021-02-16 | RO | Asset management | 2019-06-10 | 2021-02-16 |
8 | UKFP (Asia) HK Limited | Rep | Advising on corporate finance | 2003-10-22 | Rep | Asset management | 2003-10-22 | Rep | Advising on securities | 2003-10-23 | Rep | Dealing in securities | 2003-10-23 |
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