James Peter Sutton
This page summarises the Hong Kong Securities and Futures Commission (SFC) public register record for James Peter Sutton, a licensed Responsible Officer with CE reference ANU041. Currently licensed at 1 firm(s): Progeny (Hong Kong) Limited. Active regulated activities: Type 1 - Dealing in securities; Type 4 - Advising on securities; Type 9 - Asset management. Total licence records on file: 5.
Licence history
| Firm | Role | Regulated activity | From | To |
|---|---|---|---|---|
| Progeny (Hong Kong) Limited |
RO | Type 9 - Asset management | 2019-06-21 | present |
| Progeny (Hong Kong) Limited |
RO | Type 1 - Dealing in securities | 2010-07-09 | present |
| Progeny (Hong Kong) Limited |
RO | Type 4 - Advising on securities | 2010-07-09 | present |
| Wilfred T. Fry (Personal Financial Planning) Limited | Rep | Type 1 - Dealing in securities | 2008-02-19 | 2010-07-09 |
| Wilfred T. Fry (Personal Financial Planning) Limited | Rep | Type 4 - Advising on securities | 2006-08-18 | 2010-07-09 |