Khiem Trong Do
This page summarises the Hong Kong Securities and Futures Commission (SFC) public register record for Khiem Trong Do ( ), a licensed former licensee with CE reference ADT127. Total licence records on file: 9.
Licence history
| Firm | Role | Regulated activity | From | To |
|---|---|---|---|---|
| Baring Asset Management (Asia) Limited 霸菱資產管理(亞洲)有限公司 |
RO | Type 2 — Dealing in futures contracts | 2016-12-30 | 2020-12-31 |
| Baring Asset Management (Asia) Limited 霸菱資產管理(亞洲)有限公司 |
RO | Type 1 — Dealing in securities | 2004-10-08 | 2020-12-31 |
| Baring Asset Management (Asia) Limited 霸菱資產管理(亞洲)有限公司 |
RO | Type 4 — Advising on securities | present | 2020-12-31 |
| Biz Corp Limited |
RO | Type 4 — Advising on securities | present | 2003-08-20 |
| Baring Asset Management (Asia) Limited 霸菱資產管理(亞洲)有限公司 |
RO | Type 5 — Advising on futures contracts | present | 2020-12-31 |
| Baring Asset Management (Asia) Limited 霸菱資產管理(亞洲)有限公司 |
RO | Type 6 — Advising on corporate finance | present | 2003-08-20 |
| Biz Corp Limited |
RO | Type 6 — Advising on corporate finance | present | 2003-08-20 |
| Baring Asset Management (Asia) Limited 霸菱資產管理(亞洲)有限公司 |
RO | Type 9 — Asset management | present | 2020-12-31 |
| Biz Corp Limited |
RO | Type 9 — Asset management | present | 2003-08-20 |