Nicolas Jean Marie Denis Moreau
This page summarises the Hong Kong Securities and Futures Commission (SFC) public register record for Nicolas Jean Marie Denis Moreau, a licensed Responsible Officer with CE reference AFB431. Currently licensed at 2 firm(s): HSBC Global Asset Management (Hong Kong) Limited, HSBC Investment Funds (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: 12.
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 |
|---|---|---|---|---|
| HSBC Global Asset Management (Hong Kong) Limited | RO | Type 1 — Dealing in securities | 2022-05-20 | present |
| HSBC Investment Funds (Hong Kong) Limited | RO | Type 1 — Dealing in securities | 2022-05-20 | present |
| HSBC Global Asset Management (Hong Kong) Limited | RO | Type 4 — Advising on securities | 2022-05-20 | present |
| HSBC Investment Funds (Hong Kong) Limited | RO | Type 4 — Advising on securities | 2022-05-20 | present |
| HSBC Global Asset Management (Hong Kong) Limited | RO | Type 9 — Asset management | 2022-05-20 | present |
| HSBC Investment Funds (Hong Kong) Limited | RO | Type 9 — Asset management | 2022-05-20 | present |
| HSBC Global Asset Management (Hong Kong) Limited | Rep | Type 1 — Dealing in securities | 2021-12-15 | 2022-05-20 |
| HSBC Investment Funds (Hong Kong) Limited | Rep | Type 1 — Dealing in securities | 2021-12-15 | 2022-05-20 |
| HSBC Global Asset Management (Hong Kong) Limited | Rep | Type 4 — Advising on securities | 2021-12-15 | 2022-05-20 |
| HSBC Investment Funds (Hong Kong) Limited | Rep | Type 4 — Advising on securities | 2021-12-15 | 2022-05-20 |
| HSBC Global Asset Management (Hong Kong) Limited | Rep | Type 9 — Asset management | 2021-12-15 | 2022-05-20 |
| HSBC Investment Funds (Hong Kong) Limited | Rep | Type 9 — Asset management | 2021-12-15 | 2022-05-20 |