Mark Andrew Williams
This page summarises the Hong Kong Securities and Futures Commission (SFC) public register record for Mark Andrew Williams ( ), a licensed former licensee with CE reference AGJ168. Total licence records on file: 8.
Licence history
| Firm | Role | Regulated activity | From | To |
|---|---|---|---|---|
| Alphatraxx (H.K.) Limited | RO | Type 4 — Advising on securities | 2006-09-21 | 2009-08-17 |
| Alphatraxx (H.K.) Limited | RO | Type 9 — Asset management | 2006-09-21 | 2009-08-17 |
| Alphatraxx (H.K.) Limited | Rep | Type 4 — Advising on securities | 2006-09-07 | 2006-09-21 |
| Alphatraxx (H.K.) Limited | Rep | Type 9 — Asset management | 2006-09-07 | 2006-09-21 |
| Fox-Pitt, Kelton (Asia) Limited | Rep | Type 1 — Dealing in securities | present | 2005-02-01 |
| Fox-Pitt, Kelton (Asia) Limited | Rep | Type 4 — Advising on securities | present | 2005-02-01 |
| Fox-Pitt, Kelton (Asia) Limited | Rep | Type 6 — Advising on corporate finance | present | 2003-09-26 |
| Fox-Pitt, Kelton (Asia) Limited | Rep | Type 9 — Asset management | present | 2003-09-26 |