Richard Howard Gorges
This page summarises the Hong Kong Securities and Futures Commission (SFC) public register record for Richard Howard Gorges ( ), a licensed former licensee with CE reference AAA820. Total licence records on file: 25.
Licence history
| Firm | Role | Regulated activity | From | To |
|---|---|---|---|---|
| South China Securities Limited 南華證券投資有限公司 |
Rep | Type 1 — Dealing in securities | 2007-11-29 | 2015-01-26 |
| South China Commodities Limited 南華期貨有限公司 |
Rep | Type 2 — Dealing in futures contracts | 2007-11-29 | 2009-06-26 |
| South China Research Limited 南華資料研究有限公司 |
Rep | Type 4 — Advising on securities | 2007-11-29 | 2009-12-22 |
| South China Capital Limited 南華融資有限公司 |
Rep | Type 6 — Advising on corporate finance | 2007-11-29 | 2009-06-26 |
| 313 Capital Management Limited 313資本管理有限公司 |
Rep | Type 9 — Asset management | 2007-11-29 | 2009-06-26 |
| South China Securities Limited 南華證券投資有限公司 |
RO | Type 1 — Dealing in securities | present | 2007-12-21 |
| SCtrade.com Limited 南華互動金融網有限公司 |
RO | Type 1 — Dealing in securities | present | 2004-02-09 |
| South China Commodities Limited 南華期貨有限公司 |
RO | Type 2 — Dealing in futures contracts | present | 2007-12-21 |
| South China Research Limited 南華資料研究有限公司 |
RO | Type 4 — Advising on securities | present | 2007-12-21 |
| 313 Capital Management Limited 313資本管理有限公司 |
RO | Type 4 — Advising on securities | present | 2005-01-31 |
| South China Securities Limited 南華證券投資有限公司 |
RO | Type 4 — Advising on securities | present | 2005-01-31 |
| SCtrade.com Limited 南華互動金融網有限公司 |
RO | Type 4 — Advising on securities | present | 2004-02-09 |
| South China Capital Limited 南華融資有限公司 |
RO | Type 4 — Advising on securities | present | 2003-09-04 |
| South China Commodities Limited 南華期貨有限公司 |
RO | Type 5 — Advising on futures contracts | present | 2005-01-31 |
| South China Capital Limited 南華融資有限公司 |
RO | Type 6 — Advising on corporate finance | present | 2007-12-21 |
| 313 Capital Management Limited 313資本管理有限公司 |
RO | Type 6 — Advising on corporate finance | present | 2005-01-31 |
| South China Research Limited 南華資料研究有限公司 |
RO | Type 6 — Advising on corporate finance | present | 2005-01-31 |
| SCtrade.com Limited 南華互動金融網有限公司 |
RO | Type 6 — Advising on corporate finance | present | 2004-02-09 |
| South China Securities Limited 南華證券投資有限公司 |
RO | Type 7 — Providing automated trading services | present | 2005-01-31 |
| 313 Capital Management Limited 313資本管理有限公司 |
RO | Type 9 — Asset management | present | 2007-12-21 |
| South China Commodities Limited 南華期貨有限公司 |
RO | Type 9 — Asset management | present | 2005-01-31 |
| South China Research Limited 南華資料研究有限公司 |
RO | Type 9 — Asset management | present | 2005-01-31 |
| South China Securities Limited 南華證券投資有限公司 |
RO | Type 9 — Asset management | present | 2005-01-31 |
| SCtrade.com Limited 南華互動金融網有限公司 |
RO | Type 9 — Asset management | present | 2004-02-09 |
| South China Capital Limited 南華融資有限公司 |
RO | Type 9 — Asset management | present | 2003-09-04 |