Alison Rosemary Brown
This page summarises the Hong Kong Securities and Futures Commission (SFC) public register record for Alison Rosemary Brown ( ), a licensed former licensee with CE reference AQR075. Total licence records on file: 16.
Licence history
| Firm | Role | Regulated activity | From | To |
|---|---|---|---|---|
| HSBC Global Asset Management (Hong Kong) Limited | RO | Type 9 — Asset management | 2021-08-27 | 2022-09-02 |
| HSBC Investment Funds (Hong Kong) Limited | RO | Type 9 — Asset management | 2021-08-27 | 2022-09-02 |
| HSBC Global Asset Management (Hong Kong) Limited | RO | Type 1 — Dealing in securities | 2018-07-10 | 2022-09-02 |
| HSBC Investment Funds (Hong Kong) Limited | RO | Type 1 — Dealing in securities | 2018-07-10 | 2022-09-02 |
| HSBC Global Asset Management (Hong Kong) Limited | RO | Type 4 — Advising on securities | 2018-07-10 | 2022-09-02 |
| HSBC Investment Funds (Hong Kong) Limited | RO | Type 4 — Advising on securities | 2018-07-10 | 2022-09-02 |
| HSBC Global Asset Management Holdings (Bahamas) Limited | RO | Type 4 — Advising on securities | 2018-07-10 | 2020-01-20 |
| HSBC Global Asset Management (Hong Kong) Limited | Rep | Type 1 — Dealing in securities | 2015-07-30 | 2018-07-10 |
| HSBC Investment Funds (Hong Kong) Limited | Rep | Type 1 — Dealing in securities | 2015-07-30 | 2018-07-10 |
| HSBC Global Asset Management (Hong Kong) Limited | Rep | Type 4 — Advising on securities | 2015-07-30 | 2018-07-10 |
| HSBC Investment Funds (Hong Kong) Limited | Rep | Type 4 — Advising on securities | 2015-07-30 | 2018-07-10 |
| HSBC Global Asset Management (Hong Kong) Limited | Rep | Type 9 — Asset management | 2015-07-30 | 2021-08-27 |
| HSBC Investment Funds (Hong Kong) Limited | Rep | Type 9 — Asset management | 2015-07-30 | 2021-08-27 |
| Manulife Investment Management (Hong Kong) Limited 宏利投資管理(香港)有限公司 |
Rep | Type 1 — Dealing in securities | 2013-10-17 | 2014-07-28 |
| DWS Investments Hong Kong Limited 德意志投資香港有限公司 |
Rep | Type 4 — Advising on securities | 2008-03-17 | 2009-04-07 |
| DWS Investments Hong Kong Limited 德意志投資香港有限公司 |
Rep | Type 9 — Asset management | 2008-03-17 | 2009-04-07 |