Unofficial — this is NOT the SFC. Independent site, not affiliated with the Securities and Futures Commission of Hong Kong. All information is compiled from SFC, HKMA and other public regulatory records and is for reference only — verify on the official SFC website before relying on it.
SFC Radar
中文 ← Back to search

WALSH Ashley Paul Jeffery James

CE BDX251Licensed IndividualResponsible OfficerSFO licence active
Official SFC record

WALSH Ashley Paul Jeffery James (CE number BDX251) is an individual licensed by the Hong Kong SFC. First licensed on 2017-01-12. Their SFC licence is currently active. Accredited for regulated activities Type 1 (Securities dealing), Type 2 (Futures dealing), Type 7 (Automated trading). Currently a responsible officer at 2 firms.

Regulated Activities (on record) (3)

RA 1 Dealing in Securities
RA 2 Dealing in Futures Contracts
RA 7 Providing Automated Trading Services

Roles & Accreditations (2)

CapacityCompany / Institution
Responsible OfficerGFI (HK) Securities L.L.C.
Responsible OfficerSunrise Brokers (Hong Kong) Limited

Licence Record (7)

2021-01-20 – present Current
Sunrise Brokers (Hong Kong) Limited RO
RA 1 RA 2
2018-08-24 – present Current
GFI (HK) Securities L.L.C. RO
RA 1 RA 2 RA 7
2020-08-10 – 2022-11-02
Cantor Fitzgerald (Hong Kong) Capital Markets Limited RO
RA 2
2018-08-24 – 2018-08-24
GFI (HK) Securities L.L.C. Rep
RA 1 RA 2 RA 7
2017-08-25 – 2017-11-29
Tullett Prebon (Hong Kong) Limited RO
RA 1 RA 2
2017-05-11 – 2017-11-29
ICAP Equities Asia Limited RO
RA 1 RA 2
2017-01-12 – 2017-11-29
ICAP Securities Hong Kong Limited RO
RA 1 RA 2

Source: SFC, HKMA and other public regulatory records · Unofficial — this site is NOT the SFC, for reference only
Official record：apps.sfc.hk publicregWeb · JSON API：/api/indi/BDX251