Darren Carter
This page summarises the Hong Kong Securities and Futures Commission (SFC) public register record for Darren Carter, a licensed former licensee with CE reference AEJ360. This person has 3.8 years of SFC licence history. Total licence records on file: 8.
Information
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Licence history
| Firm | Role | Regulated activity | From | To |
|---|---|---|---|---|
| Daiwa Capital Markets Trading Hong Kong Limited 大和資本市場金融交易香港有限公司 |
RO | Type 1 - Dealing in securities | Pre-2003 | 2007-01-31 |
| KBC Financial Products Hong Kong Limited 比聯金融產品香港有限公司 |
RO | Type 1 - Dealing in securities | Pre-2003 | 2007-01-31 |
| Daiwa Capital Markets Trading Hong Kong Limited 大和資本市場金融交易香港有限公司 |
RO | Type 4 - Advising on securities | Pre-2003 | 2003-08-13 |
| KBC Financial Products Hong Kong Limited 比聯金融產品香港有限公司 |
RO | Type 4 - Advising on securities | Pre-2003 | 2003-08-13 |
| Daiwa Capital Markets Trading Hong Kong Limited 大和資本市場金融交易香港有限公司 |
RO | Type 6 - Advising on corporate finance | Pre-2003 | 2003-08-13 |
| KBC Financial Products Hong Kong Limited 比聯金融產品香港有限公司 |
RO | Type 6 - Advising on corporate finance | Pre-2003 | 2003-08-13 |
| Daiwa Capital Markets Trading Hong Kong Limited 大和資本市場金融交易香港有限公司 |
RO | Type 9 - Asset management | Pre-2003 | 2003-08-13 |
| KBC Financial Products Hong Kong Limited 比聯金融產品香港有限公司 |
RO | Type 9 - Asset management | Pre-2003 | 2003-08-13 |
Worked alongside
The 20 closest colleagues, strongest tie first — individuals licensed at the same firm as Darren Carter during overlapping periods. Ranked by how long they overlapped and how similar their regulated activities were, with shared time at a smaller firm weighted more than at a large one. See the detailed formula.