Financial Shield Limited
This page summarises the Hong Kong Securities and Futures Commission (SFC) public register record for Financial Shield Limited, a Hong Kong-based licensed corporation with CE reference AFR822. Current licensed staff on file: 0 (total recorded over time: 4).
Licence history
| Activity | From | To |
|---|---|---|
| Type 4 — Advising on securities | present | 2012-06-21 |
| Type 6 — Advising on corporate finance | present | 2005-02-25 |
| Type 9 — Asset management | present | 2005-10-17 |
Licensed staff (all-time) (4)
Active on date
| Name | Activities | First licensed | To |
|---|---|---|---|
| Enzio Graf von Pfeil | RO 4, 6, 9 | Pre-2003 | 2012-06 |
| Johannes Schoter | RO 4 | 2005-11 | 2012-01 |
| Richard Antony Wallace | RO 4 | 2003-06 | 2003-09 |
| Hirosuke Sakai | Rep 4, 9 | 2005-05 | 2007-10 |
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