Richard Erik Charles Pennay
This page summarises the Hong Kong Securities and Futures Commission (SFC) public register record for Richard Erik Charles Pennay, a licensed Responsible Officer with CE reference BTA448. Currently licensed at 1 firm(s): Aon Securities (Hong Kong) Limited. Active regulated activities: Type 1 - Dealing in securities; Type 4 - Advising on securities. This person has 2.7 years of SFC licence history. Total licence records on file: 2.
Information
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Licence history
| Firm | Role | Regulated activity | From | To |
|---|---|---|---|---|
| Aon Securities (Hong Kong) Limited 怡安証劵香港有限公司 |
RO | Type 1 - Dealing in securities | 2023-12-14 | present |
| Aon Securities (Hong Kong) Limited 怡安証劵香港有限公司 |
RO | Type 4 - Advising on securities | 2023-12-14 | present |
Worked alongside
The 2 closest colleagues, strongest tie first — individuals licensed at the same firm as Richard Erik Charles Pennay 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 |
|---|---|---|
| Jordan McLeod Brown | Aon Securities (Hong Kong) Limited | 2023–present |
| Dan Qu | Aon Securities (Hong Kong) Limited | 2023–present |