Robert Vyvyan Mumford
This page summarises the Hong Kong Securities and Futures Commission (SFC) public register record for Robert Vyvyan Mumford ( ), a licensed former licensee with CE reference AAW514. Total licence records on file: 22.
Licence history
| Firm | Role | Regulated activity | From | To |
|---|---|---|---|---|
| GAM Hong Kong Limited 環球投資(香港)有限公司 |
RO | Type 4 — Advising on securities | 2019-06-20 | 2025-06-30 |
| GAM Hong Kong Limited 環球投資(香港)有限公司 |
RO | Type 9 — Asset management | 2019-06-12 | 2025-06-30 |
| GAM Hong Kong Limited 環球投資(香港)有限公司 |
Rep | Type 4 — Advising on securities | 2018-12-31 | 2019-06-20 |
| GAM Hong Kong Limited 環球投資(香港)有限公司 |
Rep | Type 9 — Asset management | 2018-12-03 | 2019-06-12 |
| MCM Investment Partners Limited (以曼睿資管名義經營業務) |
RO | Type 9 — Asset management | 2017-11-16 | 2018-09-05 |
| Carret Private Capital Limited | RO | Type 9 — Asset management | 2017-03-02 | 2017-06-16 |
| Carret Private Capital Limited | Rep | Type 9 — Asset management | 2017-01-09 | 2017-03-02 |
| Shangding International Asset Management Company Limited 上鼎國際資產管理有限公司 |
RO | Type 9 — Asset management | 2015-09-04 | 2016-07-01 |
| Shangding International Asset Management Company Limited 上鼎國際資產管理有限公司 |
Rep | Type 9 — Asset management | 2015-02-05 | 2015-09-04 |
| Mirabaud (Asia) Limited |
RO | Type 1 — Dealing in securities | 2013-11-20 | 2015-01-01 |
| Mirabaud (Asia) Limited |
RO | Type 4 — Advising on securities | 2013-11-20 | 2015-01-01 |
| Mirabaud (Asia) Limited |
Rep | Type 1 — Dealing in securities | 2013-05-09 | 2013-11-20 |
| Mirabaud (Asia) Limited |
Rep | Type 4 — Advising on securities | 2013-05-09 | 2013-11-20 |
| Deltroit (Hong Kong) Limited | RO | Type 4 — Advising on securities | 2011-05-31 | 2012-12-17 |
| Deltroit (Hong Kong) Limited | RO | Type 9 — Asset management | 2011-05-31 | 2012-12-17 |
| Deltroit (Hong Kong) Limited | Rep | Type 4 — Advising on securities | 2011-04-04 | 2011-05-31 |
| Deltroit (Hong Kong) Limited | Rep | Type 9 — Asset management | 2011-04-04 | 2011-05-31 |
| Credit Suisse Futures (Hong Kong) Limited | Rep | Type 2 — Dealing in futures contracts | 2007-08-24 | 2008-05-09 |
| Credit Suisse Futures (Hong Kong) Limited | Rep | Type 7 — Providing automated trading services | 2007-08-24 | 2008-05-09 |
| Credit Suisse (Hong Kong) Limited 瑞士信貸(香港)有限公司 |
Rep | Type 1 — Dealing in securities | 2005-08-15 | 2008-05-09 |
| Credit Suisse Securities (Hong Kong) Limited 瑞士信貸證券(香港)有限公司 |
Rep | Type 1 — Dealing in securities | 2005-08-15 | 2008-05-09 |
| Macquarie Capital Limited 麥格理資本股份有限公司 |
Rep | Type 1 — Dealing in securities | 2004-07-27 | 2005-06-27 |