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

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