William David Macdonald Allen
This page summarises the Hong Kong Securities and Futures Commission (SFC) public register record for William David Macdonald Allen ( ), a licensed former licensee with CE reference BBH972. Total licence records on file: 10.
Licence history
| Firm | Role | Regulated activity | From | To |
|---|---|---|---|---|
| Jakota Securities Group Limited 嘉高達證券集團有限公司 |
Rep | Type 1 — Dealing in securities | 2021-08-05 | 2022-12-15 |
| Jakota Securities Group Limited 嘉高達證券集團有限公司 |
Rep | Type 4 — Advising on securities | 2021-08-05 | 2022-12-15 |
| Jakota Asset Management Limited 嘉高達資產管理有限公司 |
Rep | Type 9 — Asset management | 2021-08-05 | 2022-12-15 |
| BestEx Asia Limited |
Rep | Type 1 — Dealing in securities | 2019-06-14 | 2020-07-22 |
| Qantex Capital Markets Limited | Rep | Type 1 — Dealing in securities | 2017-11-17 | 2018-08-21 |
| Qantex Capital Markets Limited | Rep | Type 2 — Dealing in futures contracts | 2017-11-17 | 2018-08-21 |
| Sunrise Brokers (Hong Kong) Limited | Rep | Type 2 — Dealing in futures contracts | 2015-07-30 | 2017-09-22 |
| Sunrise Brokers (Hong Kong) Limited | Rep | Type 1 — Dealing in securities | 2013-09-06 | 2017-09-22 |
| St. James's Place (Hong Kong) Limited |
Rep | Type 1 — Dealing in securities | 2013-06-21 | 2013-06-21 |
| St. James's Place (Hong Kong) Limited |
Rep | Type 4 — Advising on securities | 2013-06-21 | 2013-06-21 |