ROTH Capital Partners (Hong Kong) Limited

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Activity type: AllAdvising on corporate financeAdvising on futures contractsAdvising on securitiesAsset managementAutomated trading servicesClient clearing services for OTC derivative transactionsCredit rating servicesDealing in futures contractsDealing in or advising on OTC derivative productsDealing in securitiesDepositary services for relevant CISsLeveraged foreign exchange tradingSecurities margin financing

SFC licensees

RO=Responsible Officer, Rep=Representative

	Name	Age in 2015	⚥	SFC ID	Role	From	Until
1	Tan, Marcus Harry 譚劍偉		M	AFG776	RO	2010-11-30	2014-01-20
2	Truelock, Mitchell Ray		M	AUZ666	RO	2010-11-30	2013-09-10

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