RAB Capital (Asia) Limited
Information
- Summary:
This page summarises the Hong Kong Securities and Futures Commission (SFC) public register record for RAB Capital (Asia) Limited, a Hong Kong-based licensed corporation with CE reference APH412. Current licensed staff on file: 0 (total recorded over time: 17). Earliest licence on file: 2007-09-28.
- Category:
- Not categorized yet
- Registered address:
- N/A
- Website:
- LinkedIn:
Licence history
| Activity | From | To |
|---|---|---|
| Type 1 - Dealing in securities | 2008-04-17 | 2011-10-10 |
| Type 4 - Advising on securities | 2007-09-28 | 2011-10-10 |
| Type 5 - Advising on futures contracts | 2007-09-28 | 2010-11-22 |
| Type 9 - Asset management | 2007-09-28 | 2011-10-10 |
Licensed staff trend
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Total licensed staff, all activities
Licensed staff (all-time) (17)
Active on date
| Name | Activities | First licensed | To |
|---|---|---|---|
| David Christopher Edward Seex | RO 1, 4, 5, 9 | 2010-08 | 2011-08 |
| Shing Yan Chan 陳盛恩 | RO 1, 4, 9 | 2009-11 | 2010-12 |
| Bruce Hung Yan Tseng 曾鴻恩 | RO 1, 4, 9 | 2010-08 | 2010-12 |
| Steven Andrew Ellis | Rep 5, 9 | 2009-10 | 2010-11 |
| Alain Barbezat | RO 1, 4, 5, 9 Rep 1, 4, 5, 9 | 2007-09 | 2010-10 |
| Kin Kenneth Chan 陳健 | Rep 4, 5, 9 | 2007-10 | 2010-10 |
| Wai Lun Chang 張偉麟 | Rep 4, 5, 9 | 2007-10 | 2010-10 |
| Caesar Man Wa Luk 陸文華 | RO 1, 4, 5, 9 | 2007-09 | 2010-10 |
| Nissim Tse 謝納新 | RO 4, 5, 9 Rep 4, 5, 9 | 2007-10 | 2010-10 |
| Wen Xu 胥雯 | Rep 4, 5, 9 | 2007-10 | 2010-10 |
| Jeffery Michael Fisher | Rep 1, 4, 5, 9 | 2008-07 | 2010-06 |
| Pak Yan Tang 鄧栢仁 | Rep 4, 5, 9 | 2007-10 | 2009-06 |
| Andrew Michael Higgins | RO 4, 5, 9 Rep 4, 5, 9 | 2007-10 | 2009-04 |
| David Ian Rogers | RO 1, 4, 5, 9 | 2007-09 | 2009-04 |
| Mark Smith | Rep 4, 5, 9 | 2007-10 | 2009-04 |
| Soo Jin Choung 鄭秀珍 | Rep 4, 5, 9 | 2007-10 | 2008-05 |
| Shih-Chieh Lin 林世杰 | Rep 4, 5, 9 | 2007-10 | 2008-05 |
Showing 1–17 of 17