Kirk Chester Sweeney
This page summarises the Hong Kong Securities and Futures Commission (SFC) public register record for Kirk Chester Sweeney, a licensed Responsible Officer with CE reference AAN604. Currently licensed at 3 firm(s): MetLife Investments Asia Limited, PineBridge Investments Asia Limited, PineBridge Investments Hong Kong Limited. Active regulated activities: Type 1 — Dealing in securities; Type 4 — Advising on securities; Type 9 — Asset management. Total licence records on file: 37.
More firms doing Dealing in securities →More firms doing Advising on securities →More firms doing Asset management →
Licence history
| Firm | Role | Regulated activity | From | To |
|---|---|---|---|---|
| MetLife Investments Asia Limited | RO | Type 1 — Dealing in securities | 2026-02-27 | present |
| MetLife Investments Asia Limited | RO | Type 4 — Advising on securities | 2026-02-27 | present |
| MetLife Investments Asia Limited | RO | Type 9 — Asset management | 2026-02-27 | present |
| PineBridge Investments Asia Limited 柏瑞投資亞洲有限公司 |
RO | Type 1 — Dealing in securities | 2022-03-15 | present |
| PineBridge Investments Hong Kong Limited 柏瑞投資香港有限公司 |
RO | Type 1 — Dealing in securities | 2022-03-15 | present |
| PineBridge Investments Asia Limited 柏瑞投資亞洲有限公司 |
RO | Type 4 — Advising on securities | 2022-03-15 | present |
| PineBridge Investments Asia Limited 柏瑞投資亞洲有限公司 |
RO | Type 9 — Asset management | 2022-03-15 | present |
| PineBridge Investments Hong Kong Limited 柏瑞投資香港有限公司 |
RO | Type 9 — Asset management | 2022-03-15 | present |
| ExodusPoint Capital Management Hong Kong, Limited | RO | Type 9 — Asset management | 2020-07-03 | 2021-12-10 |
| ExodusPoint Capital Management Hong Kong, Limited | Rep | Type 9 — Asset management | 2020-04-02 | 2020-07-03 |
| Ortus Capital Management Limited 泓策投資管理有限公司 |
RO | Type 9 — Asset management | 2019-05-23 | 2020-01-05 |
| Ortus Capital Management Limited 泓策投資管理有限公司 |
Rep | Type 9 — Asset management | 2019-03-08 | 2019-05-23 |
| Millennium Capital Management (Hong Kong) Limited | RO | Type 9 — Asset management | 2013-10-04 | 2019-01-31 |
| Barclays Capital Asia Limited 巴克萊亞洲有限公司 |
RO | Type 1 — Dealing in securities | 2011-05-12 | 2013-05-13 |
| Barclays Capital Asia Limited 巴克萊亞洲有限公司 |
RO | Type 2 — Dealing in futures contracts | 2011-05-12 | 2013-05-13 |
| Barclays Capital Asia Limited 巴克萊亞洲有限公司 |
RO | Type 6 — Advising on corporate finance | 2011-05-12 | 2013-05-13 |
| Barclays Capital Asia Limited 巴克萊亞洲有限公司 |
Rep | Type 1 — Dealing in securities | 2010-02-12 | 2011-05-12 |
| Barclays Capital Asia Limited 巴克萊亞洲有限公司 |
Rep | Type 2 — Dealing in futures contracts | 2010-02-12 | 2011-05-12 |
| Barclays Capital Asia Limited 巴克萊亞洲有限公司 |
Rep | Type 4 — Advising on securities | 2010-02-12 | 2013-05-13 |
| Barclays Capital Asia Limited 巴克萊亞洲有限公司 |
Rep | Type 6 — Advising on corporate finance | 2010-02-12 | 2011-05-12 |
| Nomura International (Hong Kong) Limited 野村國際(香港)有限公司 |
Rep | Type 1 — Dealing in securities | 2008-10-10 | 2009-09-19 |
| Nomura International (Hong Kong) Limited 野村國際(香港)有限公司 |
Rep | Type 2 — Dealing in futures contracts | 2008-10-10 | 2009-09-19 |
| Nomura International (Hong Kong) Limited 野村國際(香港)有限公司 |
Rep | Type 4 — Advising on securities | 2008-10-10 | 2009-09-19 |
| Nomura International (Hong Kong) Limited 野村國際(香港)有限公司 |
Rep | Type 6 — Advising on corporate finance | 2008-10-10 | 2009-09-19 |
| Lehman Brothers Asia Limited 美國雷曼兄弟亞洲投資有限公司 |
RO | Type 1 — Dealing in securities | present | 2008-09-29 |
| Lehman Brothers Securities Asia Limited 美國雷曼兄弟證券亞洲有限公司 |
RO | Type 1 — Dealing in securities | present | 2008-09-29 |
| Lehman Brothers Asia Limited 美國雷曼兄弟亞洲投資有限公司 |
RO | Type 2 — Dealing in futures contracts | present | 2008-09-29 |
| Lehman Brothers Futures Asia Limited |
RO | Type 2 — Dealing in futures contracts | present | 2008-09-29 |
| Lehman Brothers Asia Limited 美國雷曼兄弟亞洲投資有限公司 |
RO | Type 4 — Advising on securities | present | 2008-09-29 |
| Lehman Brothers Securities Asia Limited 美國雷曼兄弟證券亞洲有限公司 |
RO | Type 4 — Advising on securities | present | 2003-09-01 |
| Lehman Brothers Asia Limited 美國雷曼兄弟亞洲投資有限公司 |
RO | Type 6 — Advising on corporate finance | present | 2008-09-29 |
| Lehman Brothers Securities Asia Limited 美國雷曼兄弟證券亞洲有限公司 |
RO | Type 6 — Advising on corporate finance | present | 2003-09-01 |
| Lehman Brothers Asia Limited 美國雷曼兄弟亞洲投資有限公司 |
RO | Type 7 — Providing automated trading services | present | 2003-09-01 |
| Lehman Brothers Futures Asia Limited |
RO | Type 7 — Providing automated trading services | present | 2003-09-01 |
| Lehman Brothers Securities Asia Limited 美國雷曼兄弟證券亞洲有限公司 |
RO | Type 7 — Providing automated trading services | present | 2003-09-01 |
| Lehman Brothers Asia Limited 美國雷曼兄弟亞洲投資有限公司 |
RO | Type 9 — Asset management | present | 2003-09-01 |
| Lehman Brothers Securities Asia Limited 美國雷曼兄弟證券亞洲有限公司 |
RO | Type 9 — Asset management | present | 2003-09-01 |