SFC Licences of MUMFORD Robert Vyvyan

Source: Official SFC record
Key: RE = Representative, RO = Responsible Officer, EO = Executive Officer

Institution	Role	Licences	Start date	End date
GAM Hong Kong Limited 環球投資(香港)有限公司	RO	4	20 June 2019
GAM Hong Kong Limited 環球投資(香港)有限公司	RO	9	12 June 2019
GAM Hong Kong Limited 環球投資(香港)有限公司	RE	4	31 December 2018	20 June 2019
GAM Hong Kong Limited 環球投資(香港)有限公司	RE	9	03 December 2018	12 June 2019
MCM Investment Partners Limited (trading as MCM Investment Partners) (以曼睿資管名義經營業務)	RO	9	16 November 2017	05 September 2018
Carret Private Capital Limited	RO	9	02 March 2017	16 June 2017
Carret Private Capital Limited	RE	9	09 January 2017	02 March 2017
Shangding International Asset Management Company Limited 上鼎國際資產管理有限公司	RO	9	04 September 2015	01 July 2016
Shangding International Asset Management Company Limited 上鼎國際資產管理有限公司	RE	9	05 February 2015	04 September 2015
Mirabaud (Asia) Limited	RO	4	20 November 2013	01 January 2015
Mirabaud (Asia) Limited	RO	1	20 November 2013	01 January 2015
Mirabaud (Asia) Limited	RE	4	09 May 2013	20 November 2013
Mirabaud (Asia) Limited	RE	1	09 May 2013	20 November 2013
Deltroit (Hong Kong) Limited	RO	9	31 May 2011	17 December 2012
Deltroit (Hong Kong) Limited	RO	4	31 May 2011	17 December 2012
Deltroit (Hong Kong) Limited	RE	9	04 April 2011	31 May 2011
Deltroit (Hong Kong) Limited	RE	4	04 April 2011	31 May 2011
Credit Suisse Futures (Hong Kong) Limited	RE	7	24 August 2007	09 May 2008
Credit Suisse Futures (Hong Kong) Limited	RE	2	24 August 2007	09 May 2008
Credit Suisse Securities (Hong Kong) Limited 瑞士信貸證券(香港)有限公司	RE	1	15 August 2005	09 May 2008
Credit Suisse (Hong Kong) Limited 瑞士信貸(香港)有限公司	RE	1	15 August 2005	09 May 2008
Macquarie Capital Limited 麥格理資本股份有限公司	RE	1	27 July 2004	27 June 2005