Arthur Chong Wah Maloy
馬忠樺
This page summarises the Hong Kong Securities and Futures Commission (SFC) public register record for Arthur Chong Wah Maloy (馬忠樺), a licensed former licensee with CE reference ARJ093. Total licence records on file: 9.
Licence history
| Firm | Role | Regulated activity | From | To |
|---|---|---|---|---|
| Ascent Capital Advisors Limited |
RO | Type 1 — Dealing in securities | 2013-11-08 | 2022-03-07 |
| Ascent Capital Advisors Limited |
RO | Type 4 — Advising on securities | 2013-11-08 | 2022-03-07 |
| Ascent Capital Advisors Limited |
RO | Type 6 — Advising on corporate finance | 2013-11-08 | 2022-03-07 |
| Goldman Sachs (Asia) L.L.C. 高盛(亞洲)有限責任公司 |
Rep | Type 1 — Dealing in securities | 2010-10-18 | 2013-06-01 |
| Nomura International (Hong Kong) Limited 野村國際(香港)有限公司 |
Rep | Type 1 — Dealing in securities | 2009-12-30 | 2010-09-11 |
| Nomura International (Hong Kong) Limited 野村國際(香港)有限公司 |
Rep | Type 4 — Advising on securities | 2008-10-10 | 2010-09-11 |
| Nomura International (Hong Kong) Limited 野村國際(香港)有限公司 |
Rep | Type 6 — Advising on corporate finance | 2008-10-10 | 2010-09-11 |
| Lehman Brothers Asia Limited 美國雷曼兄弟亞洲投資有限公司 |
Rep | Type 4 — Advising on securities | 2008-07-31 | 2008-09-29 |
| Lehman Brothers Asia Limited 美國雷曼兄弟亞洲投資有限公司 |
Rep | Type 6 — Advising on corporate finance | 2008-07-31 | 2008-09-29 |