RAB Capital (Asia) Limited

CE No. APH412 Licensed corporation Active

This page summarises the Hong Kong Securities and Futures Commission (SFC) public register record for RAB Capital (Asia) Limited (), a Hong Kong-based licensed corporation with CE reference APH412. Current licensed staff on file: 0 (total recorded over time: 17). Earliest licence on file: 2007-09-28.

Licence history

ActivityFromTo
Type 1 — Dealing in securities 2008-04-17 2011-10-10
Type 4 — Advising on securities 2007-09-28 2011-10-10
Type 5 — Advising on futures contracts 2007-09-28 2010-11-22
Type 9 — Asset management 2007-09-28 2011-10-10

Licensed staff (all-time) (17)
Active on date

Name Activities First licensed To
Alain Barbezat RO 1, 4, 5, 9 Rep 1, 4, 5, 9 2007-09 2010-10
Shing Yan Chan 陳盛恩 RO 1, 4, 9 2009-11 2010-12
Andrew Michael Higgins RO 4, 5, 9 Rep 4, 5, 9 2007-10 2009-04
Caesar Man Wa Luk 陸文華 RO 1, 4, 5, 9 2007-09 2010-10
David Ian Rogers RO 1, 4, 5, 9 2007-09 2009-04
David Christopher Edward Seex RO 1, 4, 5, 9 2010-08 2011-08
Nissim Tse 謝納新 RO 4, 5, 9 Rep 4, 5, 9 2007-10 2010-10
Bruce Hung Yan Tseng 曾鴻恩 RO 1, 4, 9 2010-08 2010-12
Kin Kenneth Chan 陳健 Rep 4, 5, 9 2007-10 2010-10
Wai Lun Chang 張偉麟 Rep 4, 5, 9 2007-10 2010-10
Soo Jin Choung 鄭秀珍 Rep 4, 5, 9 2007-10 2008-05
Steven Andrew Ellis Rep 5, 9 2009-10 2010-11
Jeffery Michael Fisher Rep 1, 4, 5, 9 2008-07 2010-06
Shih-Chieh Lin 林世杰 Rep 4, 5, 9 2007-10 2008-05
Mark Smith Rep 4, 5, 9 2007-10 2009-04
Pak Yan Tang 鄧栢仁 Rep 4, 5, 9 2007-10 2009-06
Wen (SFC:APO463) Xu 胥雯 Rep 4, 5, 9 2007-10 2010-10
Showing 1–17 of 17

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