Dominic Noel Swan
This page summarises the Hong Kong Securities and Futures Commission (SFC) public register record for Dominic Noel Swan ( ), a licensed former licensee with CE reference AUQ036. Total licence records on file: 9.
Licence history
| Firm | Role | Regulated activity | From | To |
|---|---|---|---|---|
| HSBC Global Asset Management (Hong Kong) Limited | Rep | Type 1 — Dealing in securities | 2019-10-24 | 2019-11-01 |
| HSBC Investment Funds (Hong Kong) Limited | Rep | Type 1 — Dealing in securities | 2019-10-24 | 2019-11-01 |
| HSBC Global Asset Management (Hong Kong) Limited | Rep | Type 1 — Dealing in securities | 2019-05-20 | 2019-05-24 |
| HSBC Investment Funds (Hong Kong) Limited | Rep | Type 1 — Dealing in securities | 2019-05-20 | 2019-05-24 |
| HSBC Global Asset Management (Hong Kong) Limited | Rep | Type 1 — Dealing in securities | 2019-01-24 | 2019-02-01 |
| HSBC Investment Funds (Hong Kong) Limited | Rep | Type 1 — Dealing in securities | 2019-01-24 | 2019-02-01 |
| HSBC Global Asset Management (Hong Kong) Limited | Rep | Type 1 — Dealing in securities | 2010-01-26 | 2010-02-25 |
| HSBC Investment Funds (Hong Kong) Limited | Rep | Type 1 — Dealing in securities | 2010-01-26 | 2010-02-25 |
| Halbis Capital Management (Hong Kong) Limited | Rep | Type 1 — Dealing in securities | 2010-01-26 | 2010-02-25 |