Kent Sanford Moser
This page summarises the Hong Kong Securities and Futures Commission (SFC) public register record for Kent Sanford Moser ( ), a licensed former licensee with CE reference ALF653. Total licence records on file: 9.
Licence history
| Firm | Role | Regulated activity | From | To |
|---|---|---|---|---|
| Peak Capital Limited | Rep | Type 1 — Dealing in securities | 2016-03-15 | 2017-03-30 |
| Peak Capital Limited | Rep | Type 4 — Advising on securities | 2016-03-15 | 2017-03-30 |
| Robeco Hong Kong Limited 荷寶投資管理香港有限公司 |
Rep | Type 1 — Dealing in securities | 2014-02-27 | 2015-03-27 |
| Robeco Hong Kong Limited 荷寶投資管理香港有限公司 |
Rep | Type 4 — Advising on securities | 2014-02-27 | 2015-03-27 |
| CBH Asia Limited 瑞金亞洲有限公司 |
Rep | Type 1 — Dealing in securities | 2012-03-13 | 2014-02-17 |
| CBH Asia Limited 瑞金亞洲有限公司 |
Rep | Type 4 — Advising on securities | 2012-03-13 | 2014-02-17 |
| ACM Asia Limited |
Rep | Type 4 — Advising on securities | 2011-08-04 | 2011-11-01 |
| Blackstone Group (HK) Limited, The 黑石集團(香港)有限公司 |
Rep | Type 1 — Dealing in securities | 2010-03-12 | 2010-12-31 |
| AllianceBernstein Hong Kong Limited 聯博香港有限公司 |
Rep | Type 4 — Advising on securities | 2004-09-13 | 2004-09-15 |