Alan Jack Newman Richardson
This page summarises the Hong Kong Securities and Futures Commission (SFC) public register record for Alan Jack Newman Richardson, a licensed Responsible Officer with CE reference AEI864. Currently licensed at 1 firm(s): Samsung Asset Management (Hong Kong) Limited. Active regulated activities: Type 4 — Advising on securities; Type 9 — Asset management. Total licence records on file: 14.
Licence history
| Firm | Role | Regulated activity | From | To |
|---|---|---|---|---|
| Samsung Asset Management (Hong Kong) Limited 三星資產運用(香港)有限公司 |
RO | Type 4 — Advising on securities | 2024-08-09 | present |
| Samsung Asset Management (Hong Kong) Limited 三星資產運用(香港)有限公司 |
RO | Type 9 — Asset management | 2024-08-09 | present |
| Samsung Asset Management (Hong Kong) Limited 三星資產運用(香港)有限公司 |
Rep | Type 4 — Advising on securities | 2013-02-28 | 2024-08-09 |
| Samsung Asset Management (Hong Kong) Limited 三星資產運用(香港)有限公司 |
Rep | Type 9 — Asset management | 2013-02-28 | 2024-08-09 |
| RCM Asia Pacific Limited | Rep | Type 9 — Asset management | 2007-02-07 | 2008-10-11 |
| Allianz Global Investors Hong Kong Limited | Rep | Type 9 — Asset management | 2006-11-15 | 2008-10-11 |
| Baring Asset Management (Asia) Limited 霸菱資產管理(亞洲)有限公司 |
Rep | Type 5 — Advising on futures contracts | 2006-06-23 | 2006-11-14 |
| Baring Asset Management (Asia) Limited 霸菱資產管理(亞洲)有限公司 |
Rep | Type 4 — Advising on securities | present | 2003-08-18 |
| Biz Corp Limited |
Rep | Type 4 — Advising on securities | present | 2003-08-18 |
| Baring Asset Management (Asia) Limited 霸菱資產管理(亞洲)有限公司 |
Rep | Type 5 — Advising on futures contracts | present | 2003-07-25 |
| Baring Asset Management (Asia) Limited 霸菱資產管理(亞洲)有限公司 |
Rep | Type 6 — Advising on corporate finance | present | 2003-08-18 |
| Biz Corp Limited |
Rep | Type 6 — Advising on corporate finance | present | 2003-08-18 |
| Baring Asset Management (Asia) Limited 霸菱資產管理(亞洲)有限公司 |
Rep | Type 9 — Asset management | present | 2006-11-14 |
| Biz Corp Limited |
Rep | Type 9 — Asset management | present | 2003-08-18 |