SFC Licences of KEYS Malcolm James
Source:
Official SFC record
Key: RE = Representative, RO = Responsible Officer, EO = Executive Officer
| Institution | Role | Licences | Start date | End date |
|---|---|---|---|---|
| Vantage Capital Markets HK Limited | RE | 2 | 20 December 2019 | 09 November 2023 |
| Vantage Capital Markets HK Limited | RE | 1 | 20 December 2019 | 09 November 2023 |
| Pinyin Capital Management Hong Kong Limited | RO | 9 | 31 August 2017 | 06 November 2019 |
| Pinyin Capital Management Hong Kong Limited | RE | 9 | 21 August 2017 | 31 August 2017 |
| Macquarie Funds Management Hong Kong Limited 麥格理基金管理(香港)有限公司 | RE | 1 | 16 June 2014 | 04 January 2016 |
| Natixis Asia Limited | RE | 1 | 04 August 2011 | 10 March 2014 |
| RBC Capital Markets (Hong Kong) Limited 加皇資本市場(香港)有限公司 | RE | 1 | 15 September 2010 | 25 November 2010 |