George Richard Warfield IV
This page summarises the Hong Kong Securities and Futures Commission (SFC) public register record for George Richard Warfield IV ( ), a licensed former licensee with CE reference ASH893. Total licence records on file: 4.
Licence history
| Firm | Role | Regulated activity | From | To |
|---|---|---|---|---|
| Forthright Capital Management Limited 方德資本管理有限公司 |
RO | Type 4 — Advising on securities | 2016-11-29 | 2020-06-04 |
| Forthright Capital Management Limited 方德資本管理有限公司 |
RO | Type 9 — Asset management | 2016-11-29 | 2020-06-04 |
| Deutsche Securities Asia Limited 德意志證券亞洲有限公司 |
Rep | Type 1 — Dealing in securities | 2009-01-16 | 2009-06-11 |
| Deutsche Securities Asia Limited 德意志證券亞洲有限公司 |
Rep | Type 2 — Dealing in futures contracts | 2009-01-16 | 2009-06-11 |