Firth, Charles Richard Bartholomew 霍逸倫
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 | BARCLAYS CAPITAL ASIA LIMITED | Rep | Dealing in securities | 2007-02-27 | |
| 2 | Credit Suisse (Hong Kong) Limited | Rep | Dealing in securities | 2009-06-05 | 2016-09-02 | Rep | Advising on securities | 2012-09-05 | 2016-09-02 | Rep | Dealing in futures contracts | 2013-02-18 | 2016-09-02 | Rep | Advising on securities | 2018-12-11 | 2022-01-19 | Rep | Dealing in futures contracts | 2018-12-11 | 2022-01-19 | Rep | Dealing in securities | 2018-12-11 | 2022-01-19 | Rep | Advising on securities | 2023-03-20 | 2023-03-26 |
| 3 | Rafiki Capital Management (Hong Kong) Limited | RO | Asset management | 2016-11-07 | 2018-10-31 |
| 4 | UBS SECURITIES ASIA LIMITED | Rep | Dealing in securities | 2007-05-02 | 2009-04-22 |
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