Harris, Richard (SFC:AAK411)
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 | Boswell Capital Management Limited | RO | Asset management | 2022-01-28 | |
| 2 | China Enterprise Securities Company Limited | Rep | Advising on securities | 2009-01-01 | 2009-02-05 | Rep | Asset management | 2009-01-01 | 2009-02-05 | RO | Advising on securities | 2009-02-05 | 2010-08-31 | RO | Asset management | 2009-02-05 | 2010-08-31 |
| 3 | EAST CAPITAL ASIA LIMITED | RO | Advising on securities | 2015-05-13 | 2020-04-30 | RO | Asset management | 2015-05-13 | 2020-04-30 | RO | Dealing in securities | 2015-05-13 | 2020-04-30 |
| 4 | Grace Financial Limited (HK) | Rep | Advising on securities | 2008-06-16 | 2008-07-15 | Rep | Asset management | 2008-06-16 | 2008-08-05 | RO | Advising on securities | 2008-07-15 | 2008-11-30 | RO | Asset management | 2008-08-05 | 2008-11-30 |
| 5 | Hodes Weill Asia Limited | RO | Dealing in securities | 2012-08-31 | 2015-05-08 |
| 6 | Quam Asset Management Limited (b1983-06-28) | Rep | Advising on securities | 2010-09-28 | 2010-11-16 | Rep | Asset management | 2010-09-28 | 2010-11-16 | RO | Advising on securities | 2010-11-16 | 2012-01-07 | RO | Asset management | 2010-11-16 | 2012-01-07 |
| 7 | Quam Securities Limited | Rep | Dealing in securities | 2010-09-28 | 2012-01-07 |
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