Veneau, James Christopher
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 | Rep | Advising on securities | 2013-12-09 | 2015-05-29 | Rep | Asset management | 2013-12-09 | 2015-05-29 | Rep | Dealing in securities | 2013-12-09 | 2015-05-29 | RO | Advising on securities | 2015-05-29 | 2023-08-31 | RO | Asset management | 2015-05-29 | 2023-08-31 | RO | Dealing in securities | 2015-05-29 | 2023-08-31 | RO | Dealing in futures contracts | 2018-02-09 | 2023-08-31 | RO | Leveraged foreign exchange trading | 2020-01-09 | 2023-08-31 |
| 2 | AXA ROSENBERG INVESTMENT MANAGEMENT ASIA PACIFIC LIMITED | Rep | Advising on securities | 2013-12-09 | 2015-05-29 | Rep | Asset management | 2013-12-09 | 2015-05-29 | Rep | Dealing in securities | 2013-12-09 | 2015-05-29 | RO | Advising on securities | 2015-05-29 | 2017-10-31 | RO | Asset management | 2015-05-29 | 2017-10-31 | RO | Dealing in securities | 2015-05-29 | 2017-10-31 |
| 3 | Halbis Capital Management (Hong Kong) Limited | Rep | Advising on securities | 2009-10-27 | 2011-12-31 | Rep | Asset management | 2009-10-27 | 2011-12-31 | Rep | Dealing in securities | 2011-03-30 | 2011-12-31 |
| 4 | HSBC Global Asset Management (Hong Kong) Limited | Rep | Advising on securities | 2010-06-24 | 2013-11-01 | Rep | Asset management | 2010-06-24 | 2013-11-01 | Rep | Dealing in securities | 2011-03-30 | 2013-11-01 |
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