Thomas Wilbur Baxter
This page summarises the Hong Kong Securities and Futures Commission (SFC) public register record for Thomas Wilbur Baxter ( ), a licensed former licensee with CE reference AYY701. Total licence records on file: 10.
Licence history
| Firm | Role | Regulated activity | From | To |
|---|---|---|---|---|
| T. Rowe Price Hong Kong Limited 普徠仕香港有限公司 |
RO | Type 4 — Advising on securities | 2019-12-20 | 2020-07-31 |
| T. Rowe Price Hong Kong Limited 普徠仕香港有限公司 |
RO | Type 9 — Asset management | 2019-12-20 | 2020-07-31 |
| T. Rowe Price Hong Kong Limited 普徠仕香港有限公司 |
Rep | Type 1 — Dealing in securities | 2019-12-11 | 2020-07-31 |
| T. Rowe Price Hong Kong Limited 普徠仕香港有限公司 |
Rep | Type 2 — Dealing in futures contracts | 2019-12-11 | 2020-07-31 |
| T. Rowe Price Hong Kong Limited 普徠仕香港有限公司 |
Rep | Type 4 — Advising on securities | 2019-12-11 | 2019-12-20 |
| T. Rowe Price Hong Kong Limited 普徠仕香港有限公司 |
Rep | Type 9 — Asset management | 2019-12-11 | 2019-12-20 |
| Wellington Management Hong Kong Limited 威靈頓管理香港有限公司 |
Rep | Type 4 — Advising on securities | 2016-12-01 | 2018-12-31 |
| Wellington Management Hong Kong Limited 威靈頓管理香港有限公司 |
RO | Type 1 — Dealing in securities | 2013-05-15 | 2018-12-31 |
| Wellington Management Hong Kong Limited 威靈頓管理香港有限公司 |
RO | Type 2 — Dealing in futures contracts | 2013-05-15 | 2018-12-31 |
| Wellington Management Hong Kong Limited 威靈頓管理香港有限公司 |
RO | Type 9 — Asset management | 2012-03-20 | 2018-12-31 |