James Kum Kok Mak
This page summarises the Hong Kong Securities and Futures Commission (SFC) public register record for James Kum Kok Mak ( ), a licensed former licensee with CE reference AEJ839. Total licence records on file: 9.
Licence history
| Firm | Role | Regulated activity | From | To |
|---|---|---|---|---|
| Venture Smart Asia Limited 意博資本亞洲有限公司 |
Rep | Type 1 — Dealing in securities | 2022-03-02 | 2022-10-21 |
| Venture Smart Asia Limited 意博資本亞洲有限公司 |
Rep | Type 4 — Advising on securities | 2022-03-02 | 2022-10-21 |
| Venture Smart Asia Limited 意博資本亞洲有限公司 |
Rep | Type 9 — Asset management | 2022-03-02 | 2022-10-21 |
| Macquarie Capital Limited 麥格理資本股份有限公司 |
Rep | Type 1 — Dealing in securities | 2011-11-16 | 2014-01-10 |
| Macquarie Capital Limited 麥格理資本股份有限公司 |
Rep | Type 6 — Advising on corporate finance | 2011-11-16 | 2014-01-10 |
| Macquarie Corporate (Hong Kong) Limited | Rep | Type 6 — Advising on corporate finance | 2011-11-16 | 2014-01-10 |
| Macquarie Funds Management Hong Kong Limited 麥格理基金管理(香港)有限公司 |
Rep | Type 1 — Dealing in securities | 2010-08-24 | 2011-11-06 |
| Macquarie Funds Management Hong Kong Limited 麥格理基金管理(香港)有限公司 |
Rep | Type 4 — Advising on securities | 2010-08-24 | 2011-11-06 |
| Macquarie Funds Management Hong Kong Limited 麥格理基金管理(香港)有限公司 |
Rep | Type 9 — Asset management | 2010-08-24 | 2011-11-06 |