Susannah Mary Spence

CE No. AAK751 Ceased

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

FirmRoleRegulated activityFromTo
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

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