Financial Risk Management Limited
This page summarises the Hong Kong Securities and Futures Commission (SFC) public register record for Financial Risk Management Limited ( ), a Hong Kong-based licensed corporation with CE reference AML297. Current licensed staff on file: 0 (total recorded over time: 3). Earliest licence on file: 2005-09-30.
Licence history
| Activity | From | To |
|---|---|---|
| Type 1 — Dealing in securities | 2007-03-05 | 2007-03-11 |
| Type 1 — Dealing in securities | 2006-12-04 | 2006-12-08 |
| Type 1 — Dealing in securities | 2006-10-16 | 2006-10-20 |
| Type 1 — Dealing in securities | 2006-05-08 | 2006-05-12 |
| Type 1 — Dealing in securities | 2005-09-30 | 2005-10-29 |
Licensed staff (all-time) (3)
Active on date
| Name | Activities | First licensed | To |
|---|---|---|---|
| John Louis Francis Capaldi | RO 1 Rep 1 | 2005-09 | 2006-10 |
| Mark Oliver Rolf Reinisch | RO 1 | 2005-09 | 2007-03 |
| Lindsay Sarah Jones | Rep 1 | 2005-09 | 2006-05 |
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