SFC Licences of WALSH Ashley Paul Jeffery James
Source:
Official SFC record
Key: RE = Representative, RO = Responsible Officer, EO = Executive Officer
Institution | Role | Licences | Start date | End date |
---|---|---|---|---|
Sunrise Brokers (Hong Kong) Limited | RO | 2 | 20 January 2021 | |
Sunrise Brokers (Hong Kong) Limited | RO | 1 | 20 January 2021 | |
Cantor Fitzgerald (Hong Kong) Capital Markets Limited 建達(香港)資本市場有限公司 | RO | 2 | 10 August 2020 | 02 November 2022 |
GFI (HK) Securities L.L.C. | RE | 7 | 24 August 2018 | 24 August 2018 |
GFI (HK) Securities L.L.C. | RE | 2 | 24 August 2018 | 24 August 2018 |
GFI (HK) Securities L.L.C. | RE | 1 | 24 August 2018 | 24 August 2018 |
GFI (HK) Securities L.L.C. | RO | 7 | 24 August 2018 | |
GFI (HK) Securities L.L.C. | RO | 2 | 24 August 2018 | |
GFI (HK) Securities L.L.C. | RO | 1 | 24 August 2018 | |
Tullett Prebon (Hong Kong) Limited | RO | 2 | 25 August 2017 | 29 November 2017 |
Tullett Prebon (Hong Kong) Limited | RO | 1 | 25 August 2017 | 29 November 2017 |
ICAP Equities Asia Limited | RO | 2 | 11 May 2017 | 29 November 2017 |
ICAP Equities Asia Limited | RO | 1 | 11 May 2017 | 29 November 2017 |
ICAP Securities Hong Kong Limited | RO | 2 | 12 January 2017 | 29 November 2017 |
ICAP Securities Hong Kong Limited | RO | 1 | 12 January 2017 | 29 November 2017 |