Stephen Warren Mantle
This page summarises the Hong Kong Securities and Futures Commission (SFC) public register record for Stephen Warren Mantle ( ), a licensed former licensee with CE reference ABN072. Total licence records on file: 7.
Licence history
| Firm | Role | Regulated activity | From | To |
|---|---|---|---|---|
| State Street Global Advisors Asia Limited 道富環球投資管理亞洲有限公司 |
RO | Type 2 — Dealing in futures contracts | 2015-07-02 | 2016-07-14 |
| State Street Global Advisors Asia Limited 道富環球投資管理亞洲有限公司 |
RO | Type 1 — Dealing in securities | 2015-03-09 | 2016-07-14 |
| State Street Global Advisors Asia Limited 道富環球投資管理亞洲有限公司 |
Rep | Type 1 — Dealing in securities | present | 2015-03-09 |
| State Street Global Advisors Asia Limited 道富環球投資管理亞洲有限公司 |
Rep | Type 4 — Advising on securities | present | 2016-07-14 |
| State Street Global Advisors Asia Limited 道富環球投資管理亞洲有限公司 |
Rep | Type 5 — Advising on futures contracts | present | 2016-07-14 |
| State Street Global Advisors Asia Limited 道富環球投資管理亞洲有限公司 |
Rep | Type 6 — Advising on corporate finance | present | 2004-03-01 |
| State Street Global Advisors Asia Limited 道富環球投資管理亞洲有限公司 |
Rep | Type 9 — Asset management | present | 2016-07-14 |