Susannah Mary Spence
This page summarises the Hong Kong Securities and Futures Commission (SFC) public register record for Susannah Mary Spence ( ), a licensed former licensee with CE reference AAK751. Total licence records on file: 21.
Licence history
| Firm | Role | Regulated activity | From | To |
|---|---|---|---|---|
| HSBC Investment Funds (Hong Kong) Limited | Rep | Type 1 — Dealing in securities | 2019-08-13 | 2020-08-06 |
| HSBC Global Asset Management (Hong Kong) Limited | Rep | Type 4 — Advising on securities | 2019-08-13 | 2020-08-06 |
| HSBC Investment Funds (Hong Kong) Limited | Rep | Type 4 — Advising on securities | 2019-08-13 | 2020-08-06 |
| HSBC Global Asset Management (Hong Kong) Limited | Rep | Type 9 — Asset management | 2019-08-13 | 2020-08-06 |
| HSBC Investment Funds (Hong Kong) Limited | Rep | Type 9 — Asset management | 2019-08-13 | 2020-08-06 |
| HSBC Global Asset Management (Hong Kong) Limited | Rep | Type 1 — Dealing in securities | 2007-04-10 | 2020-08-06 |
| HSBC Global Asset Management (Hong Kong) Limited | Rep | Type 5 — Advising on futures contracts | 2006-01-18 | 2019-07-15 |
| HSBC Global Asset Management Holdings (Bahamas) Limited | Rep | Type 5 — Advising on futures contracts | 2006-01-18 | 2019-07-15 |
| HSBC Investment Funds (Hong Kong) Limited | Rep | Type 5 — Advising on futures contracts | 2006-01-18 | 2019-07-15 |
| HSBC Investment Funds (Hong Kong) Limited | RO | Type 1 — Dealing in securities | 2006-01-18 | 2019-08-13 |
| HSBC Global Asset Management (Hong Kong) Limited | RO | Type 4 — Advising on securities | 2006-01-18 | 2019-08-13 |
| HSBC Investment Funds (Hong Kong) Limited | RO | Type 4 — Advising on securities | 2006-01-18 | 2019-08-13 |
| HSBC Global Asset Management Holdings (Bahamas) Limited | RO | Type 4 — Advising on securities | 2006-01-18 | 2019-07-15 |
| HSBC Investment Funds (Hong Kong) Limited | RO | Type 6 — Advising on corporate finance | 2006-01-18 | 2015-09-09 |
| HSBC Global Asset Management (Hong Kong) Limited | RO | Type 9 — Asset management | 2006-01-18 | 2019-08-13 |
| HSBC Investment Funds (Hong Kong) Limited | RO | Type 9 — Asset management | 2006-01-18 | 2019-08-13 |
| HSBC Global Asset Management Holdings (Bahamas) Limited | RO | Type 9 — Asset management | 2006-01-18 | 2019-07-15 |
| HSBC Investment Funds (Hong Kong) Limited | Rep | Type 1 — Dealing in securities | 2004-08-10 | 2006-01-18 |
| HSBC Global Asset Management (Hong Kong) Limited | Rep | Type 4 — Advising on securities | present | 2006-01-18 |
| HSBC Global Asset Management (Hong Kong) Limited | Rep | Type 6 — Advising on corporate finance | present | 2004-05-05 |
| HSBC Global Asset Management (Hong Kong) Limited | Rep | Type 9 — Asset management | present | 2006-01-18 |