Adam Alexander Guy Moss
This page summarises the Hong Kong Securities and Futures Commission (SFC) public register record for Adam Alexander Guy Moss ( ), a licensed former licensee with CE reference AEI504. Total licence records on file: 9.
Licence history
| Firm | Role | Regulated activity | From | To |
|---|---|---|---|---|
| BestEx Asia Limited |
Rep | Type 1 — Dealing in securities | 2019-05-20 | 2022-01-31 |
| Mirabaud (Asia) Limited |
Rep | Type 1 — Dealing in securities | 2016-09-29 | 2016-11-11 |
| Mirabaud (Asia) Limited |
Rep | Type 4 — Advising on securities | 2016-09-29 | 2016-11-11 |
| CGS International Securities Hong Kong Limited 中國銀河證券香港有限公司 |
Rep | Type 1 — Dealing in securities | 2012-07-03 | 2016-01-16 |
| Credit Agricole Securities (Asia) Limited 東方匯理證券(亞洲)有限公司 |
Rep | Type 1 — Dealing in securities | 2011-02-02 | 2012-06-30 |
| CLSA Limited 中信里昂證券有限公司 |
Rep | Type 1 — Dealing in securities | present | 2010-09-20 |
| CLSA Limited 中信里昂證券有限公司 |
Rep | Type 4 — Advising on securities | present | 2004-03-16 |
| CLSA Limited 中信里昂證券有限公司 |
Rep | Type 6 — Advising on corporate finance | present | 2004-03-16 |
| CLSA Limited 中信里昂證券有限公司 |
Rep | Type 9 — Asset management | present | 2004-03-16 |