Spence, Susannah Mary
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 | HSBC Global Asset Management (Hong Kong) Limited | Rep | Advising on corporate finance | 2004-05-05 | |
2 | HSBC Global Asset Management (Hong Kong) Limited | Rep | Advising on futures contracts | 2006-01-18 | 2019-07-15 |
3 | HSBC Global Asset Management Holdings (Bahamas) Limited | Rep | Advising on futures contracts | 2006-01-18 | 2019-07-15 |
4 | HSBC INVESTMENT FUNDS (HONG KONG) LIMITED | Rep | Advising on futures contracts | 2006-01-18 | 2019-07-15 |
5 | HSBC Global Asset Management (Hong Kong) Limited | Rep | Advising on securities | 2006-01-18 | |
6 | HSBC Global Asset Management (Hong Kong) Limited | Rep | Advising on securities | 2019-08-13 | 2020-08-06 |
7 | HSBC INVESTMENT FUNDS (HONG KONG) LIMITED | Rep | Advising on securities | 2019-08-13 | 2020-08-06 |
8 | HSBC Global Asset Management (Hong Kong) Limited | Rep | Asset management | 2006-01-18 | |
9 | HSBC Global Asset Management (Hong Kong) Limited | Rep | Asset management | 2019-08-13 | 2020-08-06 |
10 | HSBC INVESTMENT FUNDS (HONG KONG) LIMITED | Rep | Asset management | 2019-08-13 | 2020-08-06 |
11 | HSBC INVESTMENT FUNDS (HONG KONG) LIMITED | Rep | Dealing in securities | 2004-08-10 | 2006-01-18 |
12 | HSBC Global Asset Management (Hong Kong) Limited | Rep | Dealing in securities | 2007-04-10 | 2020-08-06 |
13 | HSBC INVESTMENT FUNDS (HONG KONG) LIMITED | Rep | Dealing in securities | 2019-08-13 | 2020-08-06 |
14 | HSBC INVESTMENT FUNDS (HONG KONG) LIMITED | RO | Advising on corporate finance | 2006-01-18 | 2015-09-09 |
15 | HSBC Global Asset Management (Hong Kong) Limited | RO | Advising on securities | 2006-01-18 | 2019-08-13 |
16 | HSBC Global Asset Management Holdings (Bahamas) Limited | RO | Advising on securities | 2006-01-18 | 2019-07-15 |
17 | HSBC INVESTMENT FUNDS (HONG KONG) LIMITED | RO | Advising on securities | 2006-01-18 | 2019-08-13 |
18 | HSBC Global Asset Management (Hong Kong) Limited | RO | Asset management | 2006-01-18 | 2019-08-13 |
19 | HSBC Global Asset Management Holdings (Bahamas) Limited | RO | Asset management | 2006-01-18 | 2019-07-15 |
20 | HSBC INVESTMENT FUNDS (HONG KONG) LIMITED | RO | Asset management | 2006-01-18 | 2019-08-13 |
21 | HSBC INVESTMENT FUNDS (HONG KONG) LIMITED | RO | Dealing in securities | 2006-01-18 | 2019-08-13 |
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