John Charles Stephens
This page summarises the Hong Kong Securities and Futures Commission (SFC) public register record for John Charles Stephens, a licensed former licensee with CE reference BAI640. This person has 0.5 years of SFC licence history. Total licence records on file: 1.
Information
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Licence history
| Firm | Role | Regulated activity | From | To |
|---|---|---|---|---|
| Pomona Capital Asia Limited 龐納資本亞洲有限公司 |
RO | Type 4 - Advising on securities | 2012-12-18 | 2013-06-18 |
Worked alongside
The 2 closest colleagues, strongest tie first — individuals licensed at the same firm as John Charles Stephens during overlapping periods. Ranked by how long they overlapped and how similar their regulated activities were, with shared time at a smaller firm weighted more than at a large one. See the detailed formula.
| Name | Shared firm | Overlap |
|---|---|---|
| Charles Bradley Wan | Pomona Capital Asia Limited | 2012–2013 |
| Dan Dan Liu | Pomona Capital Asia Limited | 2012–2013 |