Thomas Douglas Tremayne Waring
This page summarises the Hong Kong Securities and Futures Commission (SFC) public register record for Thomas Douglas Tremayne Waring ( ), a licensed former licensee with CE reference AAJ718. Total licence records on file: 12.
Licence history
| Firm | Role | Regulated activity | From | To |
|---|---|---|---|---|
| orientiert International Markets Limited | RO | Type 1 — Dealing in securities | 2007-06-29 | 2008-04-18 |
| orientiert International Markets Limited | RO | Type 4 — Advising on securities | 2007-04-20 | 2008-04-18 |
| orientiert International Markets Limited | RO | Type 9 — Asset management | 2007-04-20 | 2008-04-18 |
| orientiert International Markets Limited | Rep | Type 4 — Advising on securities | 2007-03-14 | 2007-04-20 |
| orientiert International Markets Limited | Rep | Type 9 — Asset management | 2007-03-14 | 2007-04-20 |
| First Sentier Investors (Hong Kong) Limited | RO | Type 1 — Dealing in securities | present | 2006-08-31 |
| First Sentier Investors (Hong Kong) Limited | RO | Type 4 — Advising on securities | present | 2006-08-31 |
| First State (Hong Kong) LLC | RO | Type 4 — Advising on securities | present | 2006-08-31 |
| First Sentier Investors (Hong Kong) Limited | RO | Type 6 — Advising on corporate finance | present | 2005-03-11 |
| First State (Hong Kong) LLC | RO | Type 6 — Advising on corporate finance | present | 2005-03-11 |
| First Sentier Investors (Hong Kong) Limited | RO | Type 9 — Asset management | present | 2006-08-31 |
| First State (Hong Kong) LLC | RO | Type 9 — Asset management | present | 2006-08-31 |