Simon John Cox
This page summarises the Hong Kong Securities and Futures Commission (SFC) public register record for Simon John Cox ( ), a licensed former licensee with CE reference AQX511. Total licence records on file: 12.
Licence history
| Firm | Role | Regulated activity | From | To |
|---|---|---|---|---|
| Peak Capital Limited | Rep | Type 1 — Dealing in securities | 2019-05-06 | 2022-11-03 |
| Peak Capital Limited | Rep | Type 4 — Advising on securities | 2019-05-06 | 2022-11-03 |
| orientiert International Markets Limited | RO | Type 1 — Dealing in securities | 2013-01-18 | 2016-11-11 |
| orientiert International Markets Limited | RO | Type 4 — Advising on securities | 2013-01-18 | 2016-11-11 |
| orientiert International Markets Limited | RO | Type 9 — Asset management | 2013-01-18 | 2016-11-11 |
| orientiert International Markets Limited | Rep | Type 1 — Dealing in securities | 2010-05-17 | 2013-01-18 |
| orientiert International Markets Limited | Rep | Type 4 — Advising on securities | 2009-09-21 | 2013-01-18 |
| orientiert International Markets Limited | Rep | Type 9 — Asset management | 2009-09-21 | 2013-01-18 |
| Fleming Family & Partners (Asia) Limited | RO | Type 4 — Advising on securities | 2008-12-19 | 2009-03-31 |
| Fleming Family & Partners (Asia) Limited | RO | Type 9 — Asset management | 2008-12-19 | 2009-03-31 |
| Fleming Family & Partners (Asia) Limited | Rep | Type 4 — Advising on securities | 2008-04-28 | 2008-12-19 |
| Fleming Family & Partners (Asia) Limited | Rep | Type 9 — Asset management | 2008-04-28 | 2008-12-19 |