Thomas Antony Clapham
This page summarises the Hong Kong Securities and Futures Commission (SFC) public register record for Thomas Antony Clapham, a licensed Responsible Officer with CE reference AOC719. Currently licensed at 1 firm(s): American Century Investment Management (Asia Pacific) Limited. Active regulated activities: Type 1 — Dealing in securities; Type 4 — Advising on securities. Total licence records on file: 8.
Licence history
| Firm | Role | Regulated activity | From | To |
|---|---|---|---|---|
| American Century Investment Management (Asia Pacific) Limited |
RO | Type 1 — Dealing in securities | 2023-05-09 | present |
| American Century Investment Management (Asia Pacific) Limited |
RO | Type 4 — Advising on securities | 2023-05-09 | present |
| AXA Investment Managers Asia Limited 安盛投資管理亞洲有限公司 |
Rep | Type 1 — Dealing in securities | 2015-09-17 | 2017-10-20 |
| AXA Rosenberg Investment Management Asia Pacific Limited 安盛羅森堡投資管理亞太有限公司(以AXARosenbergAsiaPacific;AXAInvestmentManagers名義經營業務) |
Rep | Type 1 — Dealing in securities | 2015-09-17 | 2017-08-11 |
| AXA Investment Managers Asia Limited 安盛投資管理亞洲有限公司 |
Rep | Type 4 — Advising on securities | 2015-09-17 | 2017-10-20 |
| AXA Rosenberg Investment Management Asia Pacific Limited 安盛羅森堡投資管理亞太有限公司(以AXARosenbergAsiaPacific;AXAInvestmentManagers名義經營業務) |
Rep | Type 4 — Advising on securities | 2015-09-17 | 2017-08-11 |
| Deutsche Securities Asia Limited 德意志證券亞洲有限公司 |
Rep | Type 1 — Dealing in securities | 2006-10-27 | 2012-06-13 |
| Deutsche Securities Asia Limited 德意志證券亞洲有限公司 |
Rep | Type 2 — Dealing in futures contracts | 2006-10-27 | 2012-06-13 |