Niel Thassim
This page summarises the Hong Kong Securities and Futures Commission (SFC) public register record for Niel Thassim ( ), a licensed former licensee with CE reference AOG997. Total licence records on file: 8.
Licence history
| Firm | Role | Regulated activity | From | To |
|---|---|---|---|---|
| Brookfield Advisors (Hong Kong) Limited |
RO | Type 1 — Dealing in securities | 2017-01-04 | 2024-07-22 |
| Brookfield Advisors (Hong Kong) Limited |
RO | Type 4 — Advising on securities | 2017-01-04 | 2024-07-22 |
| BFIN Private Advisors (Hong Kong) Limited |
RO | Type 1 — Dealing in securities | 2014-02-21 | 2016-12-28 |
| BFIN Private Advisors (Hong Kong) Limited |
RO | Type 4 — Advising on securities | 2014-02-21 | 2016-12-28 |
| RREEF China REIT Management Limited 睿富中國房托基金管理有限公司 |
RO | Type 9 — Asset management | 2011-10-17 | 2012-09-14 |
| DWS Investments Hong Kong Limited 德意志投資香港有限公司 |
Rep | Type 1 — Dealing in securities | 2008-03-19 | 2012-09-14 |
| DWS Investments Hong Kong Limited 德意志投資香港有限公司 |
Rep | Type 4 — Advising on securities | 2008-03-19 | 2012-09-14 |
| DWS Investments Hong Kong Limited 德意志投資香港有限公司 |
Rep | Type 9 — Asset management | 2008-03-19 | 2012-09-14 |