Andrew Warren Swan
This page summarises the Hong Kong Securities and Futures Commission (SFC) public register record for Andrew Warren Swan, a licensed Representative with CE reference ALI156. Currently licensed at 1 firm(s): Man Investments (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: 20.
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 |
|---|---|---|---|---|
| Man Investments (Hong Kong) Limited 英仕曼投資(香港)有限公司 |
Rep | Type 1 — Dealing in securities | 2023-10-03 | present |
| Man Investments (Hong Kong) Limited 英仕曼投資(香港)有限公司 |
Rep | Type 4 — Advising on securities | 2023-10-03 | present |
| Man Investments (Hong Kong) Limited 英仕曼投資(香港)有限公司 |
Rep | Type 9 — Asset management | 2023-10-03 | present |
| GLG Partners Hong Kong Limited |
Rep | Type 1 — Dealing in securities | 2020-07-27 | 2023-10-02 |
| GLG Partners Hong Kong Limited |
Rep | Type 4 — Advising on securities | 2020-07-27 | 2023-10-02 |
| GLG Partners Hong Kong Limited |
Rep | Type 9 — Asset management | 2020-07-27 | 2023-10-02 |
| BlackRock Asset Management North Asia Limited 貝萊德資產管理北亞有限公司 |
RO | Type 1 — Dealing in securities | 2012-07-31 | 2020-04-02 |
| 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 | 2012-07-31 | 2020-04-02 |
| BlackRock Asset Management North Asia Limited 貝萊德資產管理北亞有限公司 |
RO | Type 9 — Asset management | 2012-07-31 | 2020-04-02 |
| BlackRock (Hong Kong) Limited 貝萊德(香港)有限公司 |
RO | Type 1 — Dealing in securities | 2012-01-04 | 2014-12-31 |
| BlackRock (Hong Kong) Limited 貝萊德(香港)有限公司 |
RO | Type 4 — Advising on securities | 2012-01-04 | 2014-12-31 |
| BlackRock (Hong Kong) Limited 貝萊德(香港)有限公司 |
RO | Type 9 — Asset management | 2012-01-04 | 2014-12-31 |
| BlackRock (Hong Kong) Limited 貝萊德(香港)有限公司 |
Rep | Type 1 — Dealing in securities | 2011-08-15 | 2012-01-04 |
| BlackRock (Hong Kong) Limited 貝萊德(香港)有限公司 |
Rep | Type 4 — Advising on securities | 2011-08-15 | 2012-01-04 |
| BlackRock (Hong Kong) Limited 貝萊德(香港)有限公司 |
Rep | Type 9 — Asset management | 2011-08-15 | 2012-01-04 |
| JF International Management Inc. | Rep | Type 4 — Advising on securities | 2004-11-01 | 2011-05-20 |
| JPMorgan Asset Management (Asia Pacific) Limited | Rep | Type 4 — Advising on securities | 2004-11-01 | 2011-05-20 |
| JPMorgan Asset Management (Asia Pacific) Limited | Rep | Type 5 — Advising on futures contracts | 2004-11-01 | 2011-05-20 |
| JF International Management Inc. | Rep | Type 9 — Asset management | 2004-11-01 | 2011-05-20 |
| JPMorgan Asset Management (Asia Pacific) Limited | Rep | Type 9 — Asset management | 2004-11-01 | 2011-05-20 |