Francis Anthony Ragusa
羅峰
This page summarises the Hong Kong Securities and Futures Commission (SFC) public register record for Francis Anthony Ragusa (羅峰), a licensed former licensee with CE reference AFJ912. Total licence records on file: 6.
Licence history
| Firm | Role | Regulated activity | From | To |
|---|---|---|---|---|
| CMSC Partners Limited 和信資本有限公司 |
Rep | Type 4 — Advising on securities | 2019-10-02 | 2020-12-26 |
| CMSC Partners Limited 和信資本有限公司 |
Rep | Type 9 — Asset management | 2019-10-02 | 2020-12-26 |
| Tora Trading Services Limited | Rep | Type 1 — Dealing in securities | 2012-08-03 | 2013-03-01 |
| Tora Trading Services Limited | Rep | Type 2 — Dealing in futures contracts | 2012-08-03 | 2013-03-01 |
| Barclays Capital Asia Limited 巴克萊亞洲有限公司 |
Rep | Type 1 — Dealing in securities | 2007-10-29 | 2009-07-08 |
| Barclays Capital Asia Limited 巴克萊亞洲有限公司 |
Rep | Type 2 — Dealing in futures contracts | 2007-10-29 | 2009-07-08 |