Penfold, Christopher John (SFC:BFO974)
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 | Capstone Financial (HK) Limited | Rep | Advising on securities | 2015-06-25 | 2016-05-27 | Rep | Dealing in securities | 2015-06-25 | 2016-05-27 |
| 2 | St. James's Place (Hong Kong) Limited | Rep | Advising on securities | 2016-06-01 | 2018-05-07 | Rep | Dealing in securities | 2016-06-01 | 2018-05-07 |
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