Brian David Roberts
This page summarises the Hong Kong Securities and Futures Commission (SFC) public register record for Brian David Roberts ( ), a licensed former licensee with CE reference BBQ454. Total licence records on file: 3.
Licence history
| Firm | Role | Regulated activity | From | To |
|---|---|---|---|---|
| Vanguard Investments Hong Kong Limited 領航投資香港有限公司 |
Rep | Type 9 — Asset management | 2015-01-07 | 2015-10-09 |
| Vanguard Investments Hong Kong Limited 領航投資香港有限公司 |
Rep | Type 1 — Dealing in securities | 2013-07-29 | 2015-10-09 |
| Vanguard Investments Hong Kong Limited 領航投資香港有限公司 |
Rep | Type 4 — Advising on securities | 2013-07-29 | 2015-10-09 |