Franklin Pak Wah Kam
金百華
This page summarises the Hong Kong Securities and Futures Commission (SFC) public register record for Franklin Pak Wah Kam (金百華), a licensed former licensee with CE reference AAD811. Total licence records on file: 12.
Licence history
| Firm | Role | Regulated activity | From | To |
|---|---|---|---|---|
| China Yinsheng International Securities Limited 中國銀盛國際證券有限公司 |
RO | Type 1 — Dealing in securities | 2017-05-12 | 2017-08-10 |
| China Yinsheng International Securities Limited 中國銀盛國際證券有限公司 |
RO | Type 4 — Advising on securities | 2017-05-12 | 2017-08-10 |
| China Yinsheng International Securities Limited 中國銀盛國際證券有限公司 |
RO | Type 9 — Asset management | 2017-05-12 | 2017-08-10 |
| Cape Asset Management Limited 海角資產管理有限公司 |
RO | Type 4 — Advising on securities | 2016-12-23 | 2024-03-07 |
| Cape Asset Management Limited 海角資產管理有限公司 |
RO | Type 9 — Asset management | 2016-12-23 | 2024-03-07 |
| Cape Asset Management Limited 海角資產管理有限公司 |
Rep | Type 4 — Advising on securities | 2011-07-18 | 2016-12-23 |
| Cape Asset Management Limited 海角資產管理有限公司 |
Rep | Type 9 — Asset management | 2011-07-18 | 2016-12-23 |
| BOCI Securities Limited 中銀國際證券有限公司 |
Rep | Type 1 — Dealing in securities | 2005-07-12 | 2011-05-04 |
| HSBC Securities (Asia) Limited | Rep | Type 1 — Dealing in securities | present | 2005-04-07 |
| HSBC Securities (Asia) Limited | Rep | Type 4 — Advising on securities | present | 2003-12-09 |
| HSBC Securities (Asia) Limited | Rep | Type 6 — Advising on corporate finance | present | 2003-12-09 |
| HSBC Securities (Asia) Limited | Rep | Type 9 — Asset management | present | 2003-12-09 |