ROTH Capital Partners (Hong Kong) Limited
This page summarises the Hong Kong Securities and Futures Commission (SFC) public register record for ROTH Capital Partners (Hong Kong) Limited ( ), a Hong Kong-based licensed corporation with CE reference AUZ616. Current licensed staff on file: 0 (total recorded over time: 2). Earliest licence on file: 2010-11-30.
Licence history
| Activity | From | To |
|---|---|---|
| Type 1 - Dealing in securities | 2010-11-30 | 2014-01-20 |
| Type 6 - Advising on corporate finance | 2010-11-30 | 2014-01-20 |
Licensed staff (all-time) (2)
Active on date
| Name | Activities | First licensed | To |
|---|---|---|---|
| Marcus Harry Tan 譚劍偉 | RO 1, 6 | 2010-11 | 2014-01 |
| Mitchell Ray Truelock | RO 1, 6 | 2010-11 | 2013-09 |
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