Benjamin Adam Willis
This page summarises the Hong Kong Securities and Futures Commission (SFC) public register record for Benjamin Adam Willis, a licensed Responsible Officer with CE reference BEV552. Currently licensed at 1 firm(s): RBC Investment Services (Asia) Limited. Active regulated activities: Type 1 — Dealing in securities; Type 2 — Dealing in futures contracts; Type 4 — Advising on securities; Type 5 — Advising on futures contracts. Total licence records on file: 14.
More firms doing Dealing in securities →More firms doing Dealing in futures contracts →More firms doing Advising on securities →More firms doing Advising on futures contracts →
Licence history
| Firm | Role | Regulated activity | From | To |
|---|---|---|---|---|
| RBC Investment Services (Asia) Limited 加皇投資理財有限公司 |
RO | Type 1 — Dealing in securities | 2020-03-31 | present |
| RBC Investment Services (Asia) Limited 加皇投資理財有限公司 |
RO | Type 2 — Dealing in futures contracts | 2020-03-31 | present |
| RBC Investment Services (Asia) Limited 加皇投資理財有限公司 |
RO | Type 4 — Advising on securities | 2020-03-31 | present |
| RBC Investment Services (Asia) Limited 加皇投資理財有限公司 |
RO | Type 5 — Advising on futures contracts | 2020-03-31 | present |
| RBC Investment Services (Asia) Limited 加皇投資理財有限公司 |
Rep | Type 1 — Dealing in securities | 2020-02-11 | 2020-03-31 |
| RBC Investment Services (Asia) Limited 加皇投資理財有限公司 |
Rep | Type 2 — Dealing in futures contracts | 2020-02-11 | 2020-03-31 |
| RBC Investment Services (Asia) Limited 加皇投資理財有限公司 |
Rep | Type 4 — Advising on securities | 2020-02-11 | 2020-03-31 |
| RBC Investment Services (Asia) Limited 加皇投資理財有限公司 |
Rep | Type 5 — Advising on futures contracts | 2020-02-11 | 2020-03-31 |
| RBC Investment Services (Asia) Limited 加皇投資理財有限公司 |
Rep | Type 2 — Dealing in futures contracts | 2017-06-26 | 2018-06-01 |
| RBC Investment Services (Asia) Limited 加皇投資理財有限公司 |
Rep | Type 5 — Advising on futures contracts | 2017-06-26 | 2018-06-01 |
| RBC Global Asset Management (Asia) Limited 加皇環球資產管理(亞洲)有限公司 |
Rep | Type 1 — Dealing in securities | 2017-05-25 | 2017-08-01 |
| RBC Global Asset Management (Asia) Limited 加皇環球資產管理(亞洲)有限公司 |
Rep | Type 4 — Advising on securities | 2017-05-25 | 2017-08-01 |
| RBC Investment Services (Asia) Limited 加皇投資理財有限公司 |
Rep | Type 1 — Dealing in securities | 2015-01-15 | 2018-06-01 |
| RBC Investment Services (Asia) Limited 加皇投資理財有限公司 |
Rep | Type 4 — Advising on securities | 2015-01-15 | 2018-06-01 |