Harris, Richard (SFC:AAK411)

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

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