Francis Joseph Carroll III
This page summarises the Hong Kong Securities and Futures Commission (SFC) public register record for Francis Joseph Carroll III, a licensed Responsible Officer with CE reference BQB535. Currently licensed at 1 firm(s): Oaktree Capital (Hong Kong) Limited. Active regulated activities: Type 1 — Dealing in securities; Type 4 — Advising on securities; Type 9 — Asset management. Total licence records on file: 6.
More firms doing Dealing in securities →More firms doing Advising on securities →More firms doing Asset management →
Licence history
| Firm | Role | Regulated activity | From | To |
|---|---|---|---|---|
| Oaktree Capital (Hong Kong) Limited | RO | Type 1 — Dealing in securities | 2023-10-03 | present |
| Oaktree Capital (Hong Kong) Limited | RO | Type 4 — Advising on securities | 2023-10-03 | present |
| Oaktree Capital (Hong Kong) Limited | RO | Type 9 — Asset management | 2023-10-03 | present |
| Oaktree Capital (Hong Kong) Limited | Rep | Type 1 — Dealing in securities | 2020-10-05 | 2023-10-03 |
| Oaktree Capital (Hong Kong) Limited | Rep | Type 4 — Advising on securities | 2020-10-05 | 2023-10-03 |
| Oaktree Capital (Hong Kong) Limited | Rep | Type 9 — Asset management | 2020-10-05 | 2023-10-03 |