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WILLIS Benjamin Adam

CE BEV552Licensed IndividualResponsible OfficerExecutive OfficerSFO licence active
Official SFC record

WILLIS Benjamin Adam (CE number BEV552) is an individual licensed by the Hong Kong SFC. First licensed on 2015-01-15. Their SFC licence is currently active. Accredited for regulated activities Type 1 (Securities dealing), Type 2 (Futures dealing), Type 4 (Advising on securities), Type 5 (Advising on futures). Currently a responsible officer at 1 firm.

Regulated Activities (on record) (4)

RA 1 Dealing in Securities
RA 2 Dealing in Futures Contracts
RA 4 Advising on Securities
RA 5 Advising on Futures Contracts

Roles & Accreditations (2)

CapacityCompany / Institution
Responsible OfficerRBC Investment Services (Asia) Limited
加皇投資理財有限公司
Executive OfficerRoyal Bank of Canada
加拿大皇家銀行

Licence Record (3)

2020-03-31 – present Current
RBC Investment Services (Asia) Limited RO
RA 1 RA 2 RA 4 RA 5
2017-05-25 – 2017-08-01
RBC Global Asset Management (Asia) Limited Rep
RA 1 RA 4
2015-01-15 – 2020-03-31
RBC Investment Services (Asia) Limited Rep
RA 1 RA 2 RA 4 RA 5

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/BEV552