David Christopher Edward Seex
This page summarises the Hong Kong Securities and Futures Commission (SFC) public register record for David Christopher Edward Seex ( ), a licensed former licensee with CE reference ALG024. Total licence records on file: 10.
Licence history
| Firm | Role | Regulated activity | From | To |
|---|---|---|---|---|
| Schroder Investment Management (Hong Kong) Limited | RO | Type 1 — Dealing in securities | 2018-10-12 | 2022-12-31 |
| Schroder Investment Management (Hong Kong) Limited | RO | Type 4 — Advising on securities | 2018-10-12 | 2022-12-31 |
| Schroder Investment Management (Hong Kong) Limited | Rep | Type 1 — Dealing in securities | 2018-04-17 | 2018-10-12 |
| Schroder Investment Management (Hong Kong) Limited | Rep | Type 4 — Advising on securities | 2018-04-17 | 2018-10-12 |
| Schroder Adveq Management (Hong Kong) Limited |
RO | Type 1 — Dealing in securities | 2013-01-02 | 2019-05-08 |
| Schroder Adveq Management (Hong Kong) Limited |
RO | Type 4 — Advising on securities | 2013-01-02 | 2019-05-08 |
| RAB Capital (Asia) Limited |
RO | Type 1 — Dealing in securities | 2010-08-23 | 2011-08-25 |
| RAB Capital (Asia) Limited |
RO | Type 4 — Advising on securities | 2010-08-23 | 2011-08-25 |
| RAB Capital (Asia) Limited |
RO | Type 5 — Advising on futures contracts | 2010-08-23 | 2010-10-21 |
| RAB Capital (Asia) Limited |
RO | Type 9 — Asset management | 2010-08-23 | 2011-08-25 |