Timothy Charles Mallott
This page summarises the Hong Kong Securities and Futures Commission (SFC) public register record for Timothy Charles Mallott, a licensed Responsible Officer with CE reference AUG689. Currently licensed at 3 firm(s): Sunrise Brokers (Hong Kong) Limited, GFI (HK) Securities L.L.C., BGC Securities (Hong Kong) LLC. Active regulated activities: Type 1 — Dealing in securities; Type 2 — Dealing in futures contracts; Type 7 — Providing automated trading services. Total licence records on file: 7.
More firms doing Dealing in securities →More firms doing Dealing in futures contracts →More firms doing Providing automated trading services →
Licence history
| Firm | Role | Regulated activity | From | To |
|---|---|---|---|---|
| Sunrise Brokers (Hong Kong) Limited | RO | Type 2 — Dealing in futures contracts | 2024-10-29 | present |
| Sunrise Brokers (Hong Kong) Limited | RO | Type 1 — Dealing in securities | 2023-08-08 | present |
| GFI (HK) Securities L.L.C. | RO | Type 1 — Dealing in securities | 2022-11-14 | present |
| GFI (HK) Securities L.L.C. | RO | Type 2 — Dealing in futures contracts | 2022-11-14 | present |
| GFI (HK) Securities L.L.C. | RO | Type 7 — Providing automated trading services | 2022-11-14 | present |
| BGC Securities (Hong Kong) LLC |
RO | Type 1 — Dealing in securities | 2020-09-16 | present |
| BGC Securities (Hong Kong) LLC |
RO | Type 2 — Dealing in futures contracts | 2020-09-16 | present |