Elizabeth Anne Allen
林安妮
This page summarises the Hong Kong Securities and Futures Commission (SFC) public register record for Elizabeth Anne Allen (林安妮), a licensed Responsible Officer with CE reference AGD018. 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 2 — Dealing in futures contracts; Type 4 — Advising on securities; Type 5 — Advising on futures contracts; Type 9 — Asset management. Total licence records on file: 16.
More firms doing Dealing in securities →More firms doing Dealing in futures contracts →More firms doing Advising on securities →More firms doing Advising on futures contracts →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 | 2021-05-06 | present |
| HSBC Investment Funds (Hong Kong) Limited | RO | Type 1 — Dealing in securities | 2021-05-06 | present |
| HSBC Global Asset Management (Hong Kong) Limited | RO | Type 2 — Dealing in futures contracts | 2021-05-06 | present |
| HSBC Global Asset Management (Hong Kong) Limited | RO | Type 4 — Advising on securities | 2021-05-06 | present |
| HSBC Investment Funds (Hong Kong) Limited | RO | Type 4 — Advising on securities | 2021-05-06 | present |
| HSBC Global Asset Management (Hong Kong) Limited | RO | Type 5 — Advising on futures contracts | 2021-05-06 | present |
| HSBC Investment Funds (Hong Kong) Limited | RO | Type 5 — Advising on futures contracts | 2021-05-06 | present |
| HSBC Global Asset Management (Hong Kong) Limited | RO | Type 9 — Asset management | 2021-05-06 | present |
| HSBC Investment Funds (Hong Kong) Limited | RO | Type 9 — Asset management | 2021-05-06 | present |
| HSBC Global Asset Management (Hong Kong) Limited | Rep | Type 1 — Dealing in securities | 2011-10-27 | 2021-05-06 |
| Halbis Capital Management (Hong Kong) Limited | Rep | Type 1 — Dealing in securities | 2011-10-27 | 2011-12-31 |
| HSBC Global Asset Management (Hong Kong) Limited | Rep | Type 4 — Advising on securities | 2011-10-27 | 2021-05-06 |
| Halbis Capital Management (Hong Kong) Limited | Rep | Type 4 — Advising on securities | 2011-10-27 | 2011-12-31 |
| HSBC Global Asset Management (Hong Kong) Limited | Rep | Type 9 — Asset management | 2011-10-27 | 2021-05-06 |
| Halbis Capital Management (Hong Kong) Limited | Rep | Type 9 — Asset management | 2011-10-27 | 2011-12-31 |
| Moody's Investors Service Hong Kong Limited | Rep | Type 10 — Providing credit rating services | 2011-06-01 | 2011-09-26 |