Charles Broadfoot Holmes
This page summarises the Hong Kong Securities and Futures Commission (SFC) public register record for Charles Broadfoot Holmes ( ), a licensed former licensee with CE reference AUG616. Total licence records on file: 2.
Licence history
| Firm | Role | Regulated activity | From | To |
|---|---|---|---|---|
| Oppenheimer Investments Asia Limited 凱萬亞洲有限公司 |
RO | Type 6 — Advising on corporate finance | 2012-05-11 | 2015-03-15 |
| Oppenheimer Investments Asia Limited 凱萬亞洲有限公司 |
RO | Type 1 — Dealing in securities | 2010-02-12 | 2015-03-15 |