Richard Harris
This page summarises the Hong Kong Securities and Futures Commission (SFC) public register record for Richard Harris, CE reference AAK411. Currently licensed at 1 firm(s): Audax Management Company (HK) Limited. Total licence records on file: 19.
Licence history
| Firm | Role | Regulated activity | From | To |
|---|---|---|---|---|
| Audax Management Company (HK) Limited |
RO | Type 1 — Dealing in securities | 2025-08-06 | present |
| Boswell Capital Management Limited | RO | Type 9 — Asset management | 2022-01-28 | 2025-08-01 |
| East Capital Asia Limited | RO | Type 1 — Dealing in securities | 2015-05-13 | 2020-04-30 |
| East Capital Asia Limited | RO | Type 4 — Advising on securities | 2015-05-13 | 2020-04-30 |
| East Capital Asia Limited | RO | Type 9 — Asset management | 2015-05-13 | 2020-04-30 |
| Hodes Weill Asia Limited | RO | Type 1 — Dealing in securities | 2012-08-31 | 2015-05-08 |
| Quam Asset Management Limited 華富建業資產管理有限公司 |
RO | Type 4 — Advising on securities | 2010-11-16 | 2012-01-07 |
| Quam Asset Management Limited 華富建業資產管理有限公司 |
RO | Type 9 — Asset management | 2010-11-16 | 2012-01-07 |
| Quam Securities Limited 華富建業證券有限公司 |
Rep | Type 1 — Dealing in securities | 2010-09-28 | 2012-01-07 |
| Quam Asset Management Limited 華富建業資產管理有限公司 |
Rep | Type 4 — Advising on securities | 2010-09-28 | 2010-11-16 |
| Quam Asset Management Limited 華富建業資產管理有限公司 |
Rep | Type 9 — Asset management | 2010-09-28 | 2010-11-16 |
| China Enterprise Securities Company Limited 華業金控證券有限公司 |
RO | Type 4 — Advising on securities | 2009-02-05 | 2010-08-31 |
| China Enterprise Securities Company Limited 華業金控證券有限公司 |
RO | Type 9 — Asset management | 2009-02-05 | 2010-08-31 |
| China Enterprise Securities Company Limited 華業金控證券有限公司 |
Rep | Type 4 — Advising on securities | 2009-01-01 | 2009-02-05 |
| China Enterprise Securities Company Limited 華業金控證券有限公司 |
Rep | Type 9 — Asset management | 2009-01-01 | 2009-02-05 |
| Grace Financial Limited 恩榮金融有限公司 |
RO | Type 9 — Asset management | 2008-08-05 | 2008-11-30 |
| Grace Financial Limited 恩榮金融有限公司 |
RO | Type 4 — Advising on securities | 2008-07-15 | 2008-11-30 |
| Grace Financial Limited 恩榮金融有限公司 |
Rep | Type 4 — Advising on securities | 2008-06-16 | 2008-07-15 |
| Grace Financial Limited 恩榮金融有限公司 |
Rep | Type 9 — Asset management | 2008-06-16 | 2008-08-05 |