Catherine Margaret Mooney
This page summarises the Hong Kong Securities and Futures Commission (SFC) public register record for Catherine Margaret Mooney, a licensed Responsible Officer with CE reference BBQ452. Currently licensed at 1 firm(s): New Peak Partners Limited. Active regulated activities: Type 1 — Dealing in securities; Type 4 — Advising on securities. Total licence records on file: 9.
Licence history
| Firm | Role | Regulated activity | From | To |
|---|---|---|---|---|
| New Peak Partners Limited |
RO | Type 1 — Dealing in securities | 2025-05-07 | present |
| New Peak Partners Limited |
RO | Type 4 — Advising on securities | 2025-05-07 | present |
| CWB Hong Kong Limited |
RO | Type 1 — Dealing in securities | 2022-05-24 | 2023-05-12 |
| CWB Hong Kong Limited |
Rep | Type 1 — Dealing in securities | 2021-07-22 | 2022-05-24 |
| CWB Hong Kong Limited |
Rep | Type 4 — Advising on securities | 2021-07-22 | 2023-05-12 |
| CWB Hong Kong Limited |
Rep | Type 9 — Asset management | 2021-07-22 | 2023-05-12 |
| Asante Capital Group HK Limited | RO | Type 1 — Dealing in securities | 2018-11-28 | 2020-08-14 |
| MVision Private Equity Advisers Asia Limited | Rep | Type 1 — Dealing in securities | 2013-09-04 | 2015-01-21 |
| MVision Private Equity Advisers Asia Limited | Rep | Type 4 — Advising on securities | 2013-09-04 | 2015-01-21 |