James Richard Barrett
This page summarises the Hong Kong Securities and Futures Commission (SFC) public register record for James Richard Barrett, a licensed Representative with CE reference ARH869. Currently licensed at 1 firm(s): Nine Masts Capital Limited. Active regulated activities: Type 9 — Asset management. Total licence records on file: 11.
Licence history
| Firm | Role | Regulated activity | From | To |
|---|---|---|---|---|
| Nine Masts Capital Limited 天元資本有限公司 |
Rep | Type 9 — Asset management | 2025-01-17 | present |
| FIL Investment Management (Hong Kong) Limited 富達基金(香港)有限公司 |
Rep | Type 1 — Dealing in securities | 2022-10-31 | 2024-06-04 |
| FIL Investment Advisors | Rep | Type 4 — Advising on securities | 2022-10-31 | 2024-06-04 |
| FIL Investment Management (Hong Kong) Limited 富達基金(香港)有限公司 |
Rep | Type 4 — Advising on securities | 2022-10-31 | 2024-06-04 |
| FIL Investment Advisors | Rep | Type 9 — Asset management | 2022-10-31 | 2024-06-04 |
| FIL Investment Management (Hong Kong) Limited 富達基金(香港)有限公司 |
Rep | Type 9 — Asset management | 2022-10-31 | 2024-06-04 |
| CGS International Securities Hong Kong Limited 中國銀河證券香港有限公司 |
Rep | Type 4 — Advising on securities | 2012-07-03 | 2013-11-29 |
| Credit Agricole Securities (Asia) Limited 東方匯理證券(亞洲)有限公司 |
Rep | Type 4 — Advising on securities | 2010-05-13 | 2012-06-30 |
| Frontier Asia Capital Hong Kong Limited 飛騰亞洲基金有限公司 |
Rep | Type 4 — Advising on securities | 2009-04-07 | 2009-07-18 |
| Frontier Asia Capital Hong Kong Limited 飛騰亞洲基金有限公司 |
Rep | Type 9 — Asset management | 2009-04-07 | 2009-07-18 |
| Citadel Asia Limited | Rep | Type 9 — Asset management | 2008-07-25 | 2009-01-08 |