James Yong Min Kim
金容珉
This page summarises the Hong Kong Securities and Futures Commission (SFC) public register record for James Yong Min Kim (金容珉), CE reference AWW389. Currently licensed at 1 firm(s): S&P Global Ratings Hong Kong Limited. Total licence records on file: 9.
Licence history
| Firm | Role | Regulated activity | From | To |
|---|---|---|---|---|
| S&P Global Ratings Hong Kong Limited | Rep | Type 10 — Providing credit rating services | 2024-07-22 | present |
| Carret Private Capital Limited | Rep | Type 1 — Dealing in securities | 2018-04-30 | 2019-04-03 |
| Carret Private Capital Limited | Rep | Type 4 — Advising on securities | 2018-04-30 | 2019-04-03 |
| Carret Private Capital Limited | Rep | Type 9 — Asset management | 2018-04-30 | 2019-04-03 |
| QL Asset Management Company Limited |
Rep | Type 1 — Dealing in securities | 2015-09-22 | 2018-04-30 |
| QL Asset Management Company Limited |
Rep | Type 4 — Advising on securities | 2015-09-22 | 2018-04-30 |
| QL Asset Management Company Limited |
Rep | Type 9 — Asset management | 2015-09-22 | 2018-04-30 |
| Knight Capital Asia Limited 澧盈資本亞洲有限公司 |
Rep | Type 1 — Dealing in securities | 2011-03-25 | 2011-08-04 |
| Knight Capital Asia Limited 澧盈資本亞洲有限公司 |
Rep | Type 4 — Advising on securities | 2011-03-25 | 2011-08-04 |