Gould, Denis James
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 CHINA REGION INVESTMENT SERVICES LIMITED | RO | Asset management | 2009-08-04 | 2011-06-24 |
| 2 | AXA Financial Planning (Hong Kong) Limited | RO | Asset management | 2009-08-04 | 2011-06-24 |
| 3 | AXA Investment Managers Asia Limited | RO | Advising on futures contracts | 2009-02-27 | 2011-06-24 | RO | Advising on securities | 2009-02-27 | 2011-06-24 | RO | Asset management | 2009-02-27 | 2011-06-24 | RO | Dealing in securities | 2009-02-27 | 2011-06-24 |
| 4 | AXA ROSENBERG INVESTMENT MANAGEMENT ASIA PACIFIC LIMITED | RO | Advising on futures contracts | 2009-02-27 | 2011-06-24 | RO | Advising on securities | 2009-02-27 | 2011-06-24 | RO | Asset management | 2009-02-27 | 2011-06-24 | RO | Dealing in securities | 2009-02-27 | 2011-06-24 |
| 5 | Halbis Capital Management (Hong Kong) Limited | RO | Advising on futures contracts | 2011-10-12 | 2011-12-31 | RO | Advising on securities | 2011-10-12 | 2011-12-31 | RO | Asset management | 2011-10-12 | 2011-12-31 | RO | Dealing in futures contracts | 2011-10-12 | 2011-12-31 | RO | Dealing in securities | 2011-10-12 | 2011-12-31 |
| 6 | HSBC Global Asset Management (Hong Kong) Limited | Rep | Advising on futures contracts | 2011-07-07 | 2011-10-12 | Rep | Advising on securities | 2011-07-07 | 2011-10-12 | Rep | Asset management | 2011-07-07 | 2011-10-12 | Rep | Dealing in securities | 2011-07-07 | 2011-10-12 | RO | Advising on futures contracts | 2011-10-12 | 2022-08-31 | RO | Advising on securities | 2011-10-12 | 2022-08-31 | RO | Asset management | 2011-10-12 | 2022-08-31 | RO | Dealing in futures contracts | 2011-10-12 | 2022-08-31 | RO | Dealing in securities | 2011-10-12 | 2022-08-31 |
| 7 | HSBC Global Asset Management Holdings (Bahamas) Limited | RO | Advising on futures contracts | 2011-10-12 | 2020-01-20 | RO | Advising on securities | 2011-10-12 | 2020-01-20 | RO | Asset management | 2011-10-12 | 2022-08-31 |
| 8 | HSBC INVESTMENT FUNDS (HONG KONG) LIMITED | Rep | Dealing in securities | 2011-07-07 | 2011-10-12 | RO | Advising on futures contracts | 2011-10-12 | 2022-08-31 | RO | Advising on securities | 2011-10-12 | 2022-08-31 | RO | Asset management | 2011-10-12 | 2022-08-31 | RO | Dealing in securities | 2011-10-12 | 2022-08-31 |
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