Jones, Richard Iwan (SFC:AGA305)
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 | 2006-02-14 | 2007-10-25 | Rep | Asset management | 2006-02-14 | 2007-10-25 | Rep | Dealing in securities | 2006-02-14 | 2007-10-25 | RO | Advising on securities | 2007-10-25 | 2009-09-15 | RO | Asset management | 2007-10-25 | 2009-09-15 | RO | Dealing in securities | 2007-10-25 | 2009-09-15 |
| 2 | First Sentier Investors (Hong Kong) Limited | Rep | Advising on securities | 2010-01-26 | 2011-12-20 | Rep | Asset management | 2010-01-26 | 2011-12-20 | Rep | Dealing in securities | 2010-01-26 | 2011-12-20 | RO | Advising on securities | 2011-12-20 | RO | Asset management | 2011-12-20 | RO | Dealing in securities | 2011-12-20 |
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