Joseph Roland Cavatoni
This page summarises the Hong Kong Securities and Futures Commission (SFC) public register record for Joseph Roland Cavatoni ( ), a licensed former licensee with CE reference AFY750. Total licence records on file: 12.
Licence history
| Firm | Role | Regulated activity | From | To |
|---|---|---|---|---|
| BlackRock Asset Management North Asia Limited 貝萊德資產管理北亞有限公司 |
Rep | Type 1 — Dealing in securities | 2011-03-25 | 2012-02-13 |
| BlackRock Asset Management North Asia Limited 貝萊德資產管理北亞有限公司 |
RO | Type 4 — Advising on securities | 2011-01-14 | 2012-02-13 |
| BlackRock (Hong Kong) Limited 貝萊德(香港)有限公司 |
Rep | Type 1 — Dealing in securities | 2010-01-18 | 2012-02-13 |
| BlackRock Asset Management North Asia Limited 貝萊德資產管理北亞有限公司 |
Rep | Type 4 — Advising on securities | 2009-06-18 | 2011-01-14 |
| BlackRock Asset Management North Asia Limited 貝萊德資產管理北亞有限公司 |
Rep | Type 6 — Advising on corporate finance | 2009-06-18 | 2012-02-13 |
| BlackRock Asset Management North Asia Limited 貝萊德資產管理北亞有限公司 |
Rep | Type 9 — Asset management | 2009-06-18 | 2012-02-13 |
| UBS Securities Asia Limited | Rep | Type 1 — Dealing in securities | 2003-10-02 | 2009-04-20 |
| Merrill Lynch (Asia Pacific) Limited | Rep | Type 1 — Dealing in securities | present | 2003-06-30 |
| Merrill Lynch (Asia Pacific) Limited | Rep | Type 4 — Advising on securities | present | 2003-06-30 |
| Merrill Lynch (Asia Pacific) Limited | Rep | Type 6 — Advising on corporate finance | present | 2003-06-30 |
| Merrill Lynch (Asia Pacific) Limited | Rep | Type 7 — Providing automated trading services | present | 2003-06-30 |
| Merrill Lynch (Asia Pacific) Limited | Rep | Type 9 — Asset management | present | 2003-06-30 |