Charles Richard Bartholomew Firth
霍逸倫
This page summarises the Hong Kong Securities and Futures Commission (SFC) public register record for Charles Richard Bartholomew Firth (霍逸倫), a licensed former licensee with CE reference AIR808. Total licence records on file: 10.
Licence history
| Firm | Role | Regulated activity | From | To |
|---|---|---|---|---|
| Credit Suisse (Hong Kong) Limited 瑞士信貸(香港)有限公司 |
Rep | Type 4 — Advising on securities | 2023-03-20 | 2023-03-26 |
| Credit Suisse (Hong Kong) Limited 瑞士信貸(香港)有限公司 |
Rep | Type 1 — Dealing in securities | 2018-12-11 | 2022-01-19 |
| Credit Suisse (Hong Kong) Limited 瑞士信貸(香港)有限公司 |
Rep | Type 2 — Dealing in futures contracts | 2018-12-11 | 2022-01-19 |
| Credit Suisse (Hong Kong) Limited 瑞士信貸(香港)有限公司 |
Rep | Type 4 — Advising on securities | 2018-12-11 | 2022-01-19 |
| Rafiki Capital Management (Hong Kong) Limited |
RO | Type 9 — Asset management | 2016-11-07 | 2018-10-31 |
| Credit Suisse (Hong Kong) Limited 瑞士信貸(香港)有限公司 |
Rep | Type 2 — Dealing in futures contracts | 2013-02-18 | 2016-09-02 |
| Credit Suisse (Hong Kong) Limited 瑞士信貸(香港)有限公司 |
Rep | Type 4 — Advising on securities | 2012-09-05 | 2016-09-02 |
| Credit Suisse (Hong Kong) Limited 瑞士信貸(香港)有限公司 |
Rep | Type 1 — Dealing in securities | 2009-06-05 | 2016-09-02 |
| UBS Securities Asia Limited | Rep | Type 1 — Dealing in securities | 2007-05-02 | 2009-04-22 |
| Barclays Capital Asia Limited 巴克萊亞洲有限公司 |
Rep | Type 1 — Dealing in securities | present | 2007-02-27 |