Flood, Simon Richard
SFC licenses
Rep=Representative, RO=Responsible Officer. A person without a starting date was in that role since at least 1-Apr-2003 when the current register began.
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| Organisation | Role | Activity | From | Until | |
|---|---|---|---|---|---|
| 1 | AXA Investment Managers Asia Limited | RO | Advising on futures contracts | 2014-10-17 | 2015-02-18 | RO | Advising on securities | 2014-10-17 | 2015-02-18 | RO | Asset management | 2014-10-17 | 2015-02-18 | RO | Dealing in securities | 2014-10-17 | 2015-02-18 |
| 2 | AXA ROSENBERG INVESTMENT MANAGEMENT ASIA PACIFIC LIMITED | RO | Advising on futures contracts | 2014-10-17 | 2015-02-18 | RO | Advising on securities | 2014-10-17 | 2015-02-18 | RO | Asset management | 2014-10-17 | 2015-02-18 | RO | Dealing in securities | 2014-10-17 | 2015-02-18 |
| 3 | BlackRock (Hong Kong) Limited (d2017-01-20) | Rep | Asset management | 2004-10-21 | 2005-04-11 | Rep | Dealing in securities | 2004-10-21 | 2005-04-11 | Rep | Advising on securities | 2005-01-03 | 2005-04-11 | RO | Advising on securities | 2005-04-11 | 2006-08-31 | RO | Asset management | 2005-04-11 | 2006-08-31 | RO | Dealing in securities | 2005-04-11 | 2006-08-31 |
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