Denis James Gould
This page summarises the Hong Kong Securities and Futures Commission (SFC) public register record for Denis James Gould ( ), a licensed former licensee with CE reference ASH964. Total licence records on file: 32.
Licence history
| Firm | Role | Regulated activity | From | To |
|---|---|---|---|---|
| HSBC Global Asset Management (Hong Kong) Limited | RO | Type 1 — Dealing in securities | 2011-10-12 | 2022-08-31 |
| HSBC Investment Funds (Hong Kong) Limited | RO | Type 1 — Dealing in securities | 2011-10-12 | 2022-08-31 |
| Halbis Capital Management (Hong Kong) Limited | RO | Type 1 — Dealing in securities | 2011-10-12 | 2011-12-31 |
| HSBC Global Asset Management (Hong Kong) Limited | RO | Type 2 — Dealing in futures contracts | 2011-10-12 | 2022-08-31 |
| Halbis Capital Management (Hong Kong) Limited | RO | Type 2 — Dealing in futures contracts | 2011-10-12 | 2011-12-31 |
| HSBC Global Asset Management (Hong Kong) Limited | RO | Type 4 — Advising on securities | 2011-10-12 | 2022-08-31 |
| HSBC Investment Funds (Hong Kong) Limited | RO | Type 4 — Advising on securities | 2011-10-12 | 2022-08-31 |
| HSBC Global Asset Management Holdings (Bahamas) Limited | RO | Type 4 — Advising on securities | 2011-10-12 | 2020-01-20 |
| Halbis Capital Management (Hong Kong) Limited | RO | Type 4 — Advising on securities | 2011-10-12 | 2011-12-31 |
| HSBC Global Asset Management (Hong Kong) Limited | RO | Type 5 — Advising on futures contracts | 2011-10-12 | 2022-08-31 |
| HSBC Investment Funds (Hong Kong) Limited | RO | Type 5 — Advising on futures contracts | 2011-10-12 | 2022-08-31 |
| HSBC Global Asset Management Holdings (Bahamas) Limited | RO | Type 5 — Advising on futures contracts | 2011-10-12 | 2020-01-20 |
| Halbis Capital Management (Hong Kong) Limited | RO | Type 5 — Advising on futures contracts | 2011-10-12 | 2011-12-31 |
| HSBC Global Asset Management (Hong Kong) Limited | RO | Type 9 — Asset management | 2011-10-12 | 2022-08-31 |
| HSBC Global Asset Management Holdings (Bahamas) Limited | RO | Type 9 — Asset management | 2011-10-12 | 2022-08-31 |
| HSBC Investment Funds (Hong Kong) Limited | RO | Type 9 — Asset management | 2011-10-12 | 2022-08-31 |
| Halbis Capital Management (Hong Kong) Limited | RO | Type 9 — Asset management | 2011-10-12 | 2011-12-31 |
| HSBC Global Asset Management (Hong Kong) Limited | Rep | Type 1 — Dealing in securities | 2011-07-07 | 2011-10-12 |
| HSBC Investment Funds (Hong Kong) Limited | Rep | Type 1 — Dealing in securities | 2011-07-07 | 2011-10-12 |
| HSBC Global Asset Management (Hong Kong) Limited | Rep | Type 4 — Advising on securities | 2011-07-07 | 2011-10-12 |
| HSBC Global Asset Management (Hong Kong) Limited | Rep | Type 5 — Advising on futures contracts | 2011-07-07 | 2011-10-12 |
| HSBC Global Asset Management (Hong Kong) Limited | Rep | Type 9 — Asset management | 2011-07-07 | 2011-10-12 |
| AXA China Region Investment Services Limited 安盛投資服務有限公司 |
RO | Type 9 — Asset management | 2009-08-04 | 2011-06-24 |
| AXA Financial Planning (Hong Kong) Limited 安盛理財策劃(香港)有限公司 |
RO | Type 9 — Asset management | 2009-08-04 | 2011-06-24 |
| AXA Investment Managers Asia Limited 安盛投資管理亞洲有限公司 |
RO | Type 1 — Dealing in securities | 2009-02-27 | 2011-06-24 |
| 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) |
RO | Type 1 — Dealing in securities | 2009-02-27 | 2011-06-24 |
| AXA Investment Managers Asia Limited 安盛投資管理亞洲有限公司 |
RO | Type 4 — Advising on securities | 2009-02-27 | 2011-06-24 |
| 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) |
RO | Type 4 — Advising on securities | 2009-02-27 | 2011-06-24 |
| AXA Investment Managers Asia Limited 安盛投資管理亞洲有限公司 |
RO | Type 5 — Advising on futures contracts | 2009-02-27 | 2011-06-24 |
| 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) |
RO | Type 5 — Advising on futures contracts | 2009-02-27 | 2011-06-24 |
| AXA Investment Managers Asia Limited 安盛投資管理亞洲有限公司 |
RO | Type 9 — Asset management | 2009-02-27 | 2011-06-24 |
| 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) |
RO | Type 9 — Asset management | 2009-02-27 | 2011-06-24 |