Carlos Alfonso Oyarbide Seco
This page summarises the Hong Kong Securities and Futures Commission (SFC) public register record for Carlos Alfonso Oyarbide Seco, a licensed Responsible Officer with CE reference AEX557. Currently licensed at 1 firm(s): Yellow River Global Capital Limited. Active regulated activities: Type 4 — Advising on securities; Type 9 — Asset management. Total licence records on file: 8.
Licence history
| Firm | Role | Regulated activity | From | To |
|---|---|---|---|---|
| Yellow River Global Capital Limited 新黃河資本有限公司 |
RO | Type 4 — Advising on securities | 2016-04-21 | present |
| Yellow River Global Capital Limited 新黃河資本有限公司 |
RO | Type 9 — Asset management | 2016-04-21 | present |
| Yellow River Global Capital Limited 新黃河資本有限公司 |
RO | Type 1 — Dealing in securities | 2016-04-21 | 2018-06-13 |
| Morgan Stanley Asia Limited 摩根士丹利亞洲有限公司 |
Rep | Type 1 — Dealing in securities | 2007-08-09 | 2015-12-31 |
| Morgan Stanley Asia Limited 摩根士丹利亞洲有限公司 |
Rep | Type 6 — Advising on corporate finance | 2007-08-09 | 2015-12-31 |
| Credit Suisse (Hong Kong) Limited 瑞士信貸(香港)有限公司 |
Rep | Type 1 — Dealing in securities | 2007-01-04 | 2007-04-24 |
| Credit Suisse (Hong Kong) Limited 瑞士信貸(香港)有限公司 |
Rep | Type 4 — Advising on securities | 2003-07-12 | 2007-04-24 |
| Credit Suisse (Hong Kong) Limited 瑞士信貸(香港)有限公司 |
Rep | Type 6 — Advising on corporate finance | 2003-07-12 | 2007-04-24 |