Brown, Alison Rosemary
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 | DWS Investments Hong Kong Limited | Rep | Advising on securities | 2008-03-17 | 2009-04-07 | Rep | Asset management | 2008-03-17 | 2009-04-07 |
| 2 | HSBC Global Asset Management (Hong Kong) Limited | Rep | Advising on securities | 2015-07-30 | 2018-07-10 | Rep | Dealing in securities | 2015-07-30 | 2018-07-10 | Rep | Asset management | 2015-07-30 | 2021-08-27 | RO | Advising on securities | 2018-07-10 | 2022-09-02 | RO | Dealing in securities | 2018-07-10 | 2022-09-02 | RO | Asset management | 2021-08-27 | 2022-09-02 |
| 3 | HSBC Global Asset Management Holdings (Bahamas) Limited | RO | Advising on securities | 2018-07-10 | 2020-01-20 |
| 4 | HSBC INVESTMENT FUNDS (HONG KONG) LIMITED | Rep | Advising on securities | 2015-07-30 | 2018-07-10 | Rep | Dealing in securities | 2015-07-30 | 2018-07-10 | Rep | Asset management | 2015-07-30 | 2021-08-27 | RO | Advising on securities | 2018-07-10 | 2022-09-02 | RO | Dealing in securities | 2018-07-10 | 2022-09-02 | RO | Asset management | 2021-08-27 | 2022-09-02 |
| 5 | Manulife Investment Management (Hong Kong) Limited | Rep | Dealing in securities | 2013-10-17 | 2014-07-28 |
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