Thomas Frederick Faulkner
This page summarises the Hong Kong Securities and Futures Commission (SFC) public register record for Thomas Frederick Faulkner ( ), a licensed former licensee with CE reference BBY700. Total licence records on file: 3.
Licence history
| Firm | Role | Regulated activity | From | To |
|---|---|---|---|---|
| Ballingal Investment Advisors Limited |
Rep | Type 4 — Advising on securities | 2013-10-24 | 2013-12-31 |
| Ballingal Investment Advisors Limited |
Rep | Type 5 — Advising on futures contracts | 2013-10-24 | 2013-12-31 |
| Ballingal Investment Advisors Limited |
Rep | Type 9 — Asset management | 2013-10-24 | 2013-12-31 |