Tristan James Baldwin
This page summarises the Hong Kong Securities and Futures Commission (SFC) public register record for Tristan James Baldwin, a licensed Responsible Officer with CE reference AUL980. Currently licensed at 1 firm(s): Liquidnet Asia Limited. Active regulated activities: Type 1 — Dealing in securities; Type 7 — Providing automated trading services. Total licence records on file: 6.
Licence history
| Firm | Role | Regulated activity | From | To |
|---|---|---|---|---|
| Liquidnet Asia Limited 利貫交易網亞洲有限公司 |
RO | Type 1 — Dealing in securities | 2017-08-17 | present |
| Liquidnet Asia Limited 利貫交易網亞洲有限公司 |
RO | Type 7 — Providing automated trading services | 2017-08-17 | present |
| Liquidnet Asia Limited 利貫交易網亞洲有限公司 |
Rep | Type 1 — Dealing in securities | 2017-06-29 | 2017-08-17 |
| Liquidnet Asia Limited 利貫交易網亞洲有限公司 |
Rep | Type 7 — Providing automated trading services | 2017-06-29 | 2017-08-17 |
| Instinet Pacific Limited 極訊亞太有限公司 |
Rep | Type 1 — Dealing in securities | 2010-01-11 | 2010-02-11 |
| Instinet Pacific Limited 極訊亞太有限公司 |
Rep | Type 4 — Advising on securities | 2010-01-11 | 2010-02-11 |