Stephen A Kaplan
This page summarises the Hong Kong Securities and Futures Commission (SFC) public register record for Stephen A Kaplan ( ), a licensed former licensee with CE reference AMV288. Total licence records on file: 2.
Licence history
| Firm | Role | Regulated activity | From | To |
|---|---|---|---|---|
| Oaktree Capital (Hong Kong) Limited | RO | Type 4 — Advising on securities | 2006-07-12 | 2016-10-21 |
| Oaktree Capital (Hong Kong) Limited | RO | Type 9 — Asset management | 2006-07-12 | 2016-10-21 |