Richard James MacFarlane
This page summarises the Hong Kong Securities and Futures Commission (SFC) public register record for Richard James MacFarlane ( ), a licensed former licensee with CE reference AAY378. Total licence records on file: 8.
Licence history
| Firm | Role | Regulated activity | From | To |
|---|---|---|---|---|
| Vantage Capital Markets HK Limited | RO | Type 1 — Dealing in securities | 2021-01-13 | 2022-08-12 |
| Vantage Capital Markets HK Limited | Rep | Type 1 — Dealing in securities | 2020-09-18 | 2021-01-13 |
| BestEx Asia Limited |
Rep | Type 1 — Dealing in securities | 2019-02-01 | 2020-09-02 |
| BestEx Asia Limited |
RO | Type 1 — Dealing in securities | 2017-01-17 | 2019-02-01 |
| Citigroup Global Markets Asia Limited 花旗環球金融亞洲有限公司 |
Rep | Type 1 — Dealing in securities | 2014-10-20 | 2016-02-24 |
| Citigroup Global Markets Asia Limited 花旗環球金融亞洲有限公司 |
Rep | Type 2 — Dealing in futures contracts | 2014-10-20 | 2016-02-24 |
| Citigroup Global Markets Asia Limited 花旗環球金融亞洲有限公司 |
Rep | Type 4 — Advising on securities | 2014-10-20 | 2016-02-24 |
| Citigroup Global Markets Asia Limited 花旗環球金融亞洲有限公司 |
Rep | Type 7 — Providing automated trading services | 2014-10-20 | 2016-02-24 |