Frank Dominick
This page summarises the Hong Kong Securities and Futures Commission (SFC) public register record for Frank Dominick ( ), a licensed former licensee with CE reference AEW395. Total licence records on file: 12.
Licence history
| Firm | Role | Regulated activity | From | To |
|---|---|---|---|---|
| China Silver Asset Management (Hong Kong) Limited | RO | Type 9 — Asset management | 2010-09-13 | 2020-06-12 |
| Evo Capital Management Asia Limited |
RO | Type 9 — Asset management | 2007-08-22 | 2010-03-15 |
| Morgan Stanley Asia Limited 摩根士丹利亞洲有限公司 |
Rep | Type 1 — Dealing in securities | 2005-06-16 | 2006-03-01 |
| Lehman Brothers Asia Limited 美國雷曼兄弟亞洲投資有限公司 |
Rep | Type 1 — Dealing in securities | 2003-10-24 | 2005-02-02 |
| Daiwa Capital Markets Trading Hong Kong Limited 大和資本市場金融交易香港有限公司 |
Rep | Type 1 — Dealing in securities | present | 2003-06-12 |
| KBC Financial Products Hong Kong Limited 比聯金融產品香港有限公司 |
Rep | Type 1 — Dealing in securities | present | 2003-06-12 |
| Daiwa Capital Markets Trading Hong Kong Limited 大和資本市場金融交易香港有限公司 |
Rep | Type 4 — Advising on securities | present | 2003-06-12 |
| KBC Financial Products Hong Kong Limited 比聯金融產品香港有限公司 |
Rep | Type 4 — Advising on securities | present | 2003-06-12 |
| Daiwa Capital Markets Trading Hong Kong Limited 大和資本市場金融交易香港有限公司 |
Rep | Type 6 — Advising on corporate finance | present | 2003-06-12 |
| KBC Financial Products Hong Kong Limited 比聯金融產品香港有限公司 |
Rep | Type 6 — Advising on corporate finance | present | 2003-06-12 |
| Daiwa Capital Markets Trading Hong Kong Limited 大和資本市場金融交易香港有限公司 |
Rep | Type 9 — Asset management | present | 2003-06-12 |
| KBC Financial Products Hong Kong Limited 比聯金融產品香港有限公司 |
Rep | Type 9 — Asset management | present | 2003-06-12 |