Stephen A Kaplan
This page summarises the Hong Kong Securities and Futures Commission (SFC) public register record for Stephen A Kaplan, a licensed former licensee with CE reference AMV288. This person has 10.3 years of SFC licence history. Total licence records on file: 2.
Information
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Licence history
| Firm | Role | Regulated activity | From | To |
|---|---|---|---|---|
| Oaktree Capital (Hong Kong) Limited | RO | Type 4 - Advising on securities | 2006-07-12 | 2016-10-21 |
| Oaktree Capital (Hong Kong) Limited | RO | Type 9 - Asset management | 2006-07-12 | 2016-10-21 |
Worked alongside
The 20 closest colleagues, strongest tie first — individuals licensed at the same firm as Stephen A Kaplan during overlapping periods. Ranked by how long they overlapped and how similar their regulated activities were, with shared time at a smaller firm weighted more than at a large one. See the detailed formula.