James Yong Min Kim
金容珉
This page summarises the Hong Kong Securities and Futures Commission (SFC) public register record for James Yong Min Kim (金容珉), a licensed Representative with CE reference AWW389. Currently licensed at 1 firm(s): S&P Global Ratings Hong Kong Limited. Active regulated activities: Type 10 — Providing credit rating services. Total licence records on file: 9.
Licence history
| Firm | Role | Regulated activity | From | To |
|---|---|---|---|---|
| S&P Global Ratings Hong Kong Limited | Rep | Type 10 — Providing credit rating services | 2024-07-22 | present |
| Carret Private Capital Limited | Rep | Type 1 — Dealing in securities | 2018-04-30 | 2019-04-03 |
| Carret Private Capital Limited | Rep | Type 4 — Advising on securities | 2018-04-30 | 2019-04-03 |
| Carret Private Capital Limited | Rep | Type 9 — Asset management | 2018-04-30 | 2019-04-03 |
| QL Asset Management Company Limited |
Rep | Type 1 — Dealing in securities | 2015-09-22 | 2018-04-30 |
| QL Asset Management Company Limited |
Rep | Type 4 — Advising on securities | 2015-09-22 | 2018-04-30 |
| QL Asset Management Company Limited |
Rep | Type 9 — Asset management | 2015-09-22 | 2018-04-30 |
| Knight Capital Asia Limited 澧盈資本亞洲有限公司 |
Rep | Type 1 — Dealing in securities | 2011-03-25 | 2011-08-04 |
| Knight Capital Asia Limited 澧盈資本亞洲有限公司 |
Rep | Type 4 — Advising on securities | 2011-03-25 | 2011-08-04 |