Sweeney, Kirk Chester
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 | BARCLAYS CAPITAL ASIA LIMITED | Rep | Advising on corporate finance | 2010-02-12 | 2011-05-12 | Rep | Dealing in futures contracts | 2010-02-12 | 2011-05-12 | Rep | Dealing in securities | 2010-02-12 | 2011-05-12 | Rep | Advising on securities | 2010-02-12 | 2013-05-13 | RO | Advising on corporate finance | 2011-05-12 | 2013-05-13 | RO | Dealing in futures contracts | 2011-05-12 | 2013-05-13 | RO | Dealing in securities | 2011-05-12 | 2013-05-13 |
| 2 | ExodusPoint Capital Management Hong Kong, Limited | Rep | Asset management | 2020-04-02 | 2020-07-03 | RO | Asset management | 2020-07-03 | 2021-12-10 |
| 3 | LEHMAN BROTHERS ASIA LIMITED | RO | Asset management | 2003-09-01 | RO | Automated trading services | 2003-09-01 | RO | Advising on corporate finance | 2008-09-29 | RO | Advising on securities | 2008-09-29 | RO | Dealing in futures contracts | 2008-09-29 | RO | Dealing in securities | 2008-09-29 |
| 4 | LEHMAN BROTHERS FUTURES ASIA LIMITED | RO | Automated trading services | 2003-09-01 | RO | Dealing in futures contracts | 2008-09-29 |
| 5 | LEHMAN BROTHERS SECURITIES ASIA LIMITED | RO | Advising on corporate finance | 2003-09-01 | RO | Advising on securities | 2003-09-01 | RO | Asset management | 2003-09-01 | RO | Automated trading services | 2003-09-01 | RO | Dealing in securities | 2008-09-29 |
| 6 | MILLENNIUM CAPITAL MANAGEMENT (HONG KONG) LIMITED | RO | Asset management | 2013-10-04 | 2019-01-31 |
| 7 | NOMURA INTERNATIONAL (HONG KONG) LIMITED | Rep | Advising on corporate finance | 2008-10-10 | 2009-09-19 | Rep | Advising on securities | 2008-10-10 | 2009-09-19 | Rep | Dealing in futures contracts | 2008-10-10 | 2009-09-19 | Rep | Dealing in securities | 2008-10-10 | 2009-09-19 |
| 8 | ORTUS CAPITAL MANAGEMENT LIMITED | Rep | Asset management | 2019-03-08 | 2019-05-23 | RO | Asset management | 2019-05-23 | 2020-01-05 |
| 9 | PineBridge Investments Asia Limited | RO | Advising on securities | 2022-03-15 | RO | Asset management | 2022-03-15 | RO | Dealing in securities | 2022-03-15 |
| 10 | PineBridge Investments Hong Kong Limited | RO | Asset management | 2022-03-15 | RO | Dealing in securities | 2022-03-15 |
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