David Michael Halley
This page summarises the Hong Kong Securities and Futures Commission (SFC) public register record for David Michael Halley ( ), a licensed former licensee with CE reference AUK187. Total licence records on file: 3.
Licence history
| Firm | Role | Regulated activity | From | To |
|---|---|---|---|---|
| Capstone Financial (HK) Limited | RO | Type 9 — Asset management | 2015-05-15 | 2021-08-03 |
| Capstone Financial (HK) Limited | RO | Type 1 — Dealing in securities | 2015-04-10 | 2020-05-07 |
| Capstone Financial (HK) Limited | RO | Type 4 — Advising on securities | 2010-03-12 | 2021-08-03 |