Swan, Dominic Noel (SFC:AUQ036)
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 | Halbis Capital Management (Hong Kong) Limited | Rep | Dealing in securities | 2010-01-26 | 2010-02-25 |
| 2 | HSBC Global Asset Management (Hong Kong) Limited | Rep | Dealing in securities | 2010-01-26 | 2010-02-25 | Rep | Dealing in securities | 2019-01-24 | 2019-02-01 | Rep | Dealing in securities | 2019-05-20 | 2019-05-24 | Rep | Dealing in securities | 2019-10-24 | 2019-11-01 |
| 3 | HSBC INVESTMENT FUNDS (HONG KONG) LIMITED | Rep | Dealing in securities | 2010-01-26 | 2010-02-25 | Rep | Dealing in securities | 2019-01-24 | 2019-02-01 | Rep | Dealing in securities | 2019-05-20 | 2019-05-24 | Rep | Dealing in securities | 2019-10-24 | 2019-11-01 |
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