Graham Alan Roger Sorrell
This page summarises the Hong Kong Securities and Futures Commission (SFC) public register record for Graham Alan Roger Sorrell, a licensed Responsible Officer with CE reference BTM294. Currently licensed at 1 firm(s): State Street Global Advisors Asia Limited. Active regulated activities: Type 1 — Dealing in securities; Type 2 — Dealing in futures contracts. Total licence records on file: 2.
Licence history
| Firm | Role | Regulated activity | From | To |
|---|---|---|---|---|
| State Street Global Advisors Asia Limited 道富環球投資管理亞洲有限公司 |
RO | Type 1 — Dealing in securities | 2023-05-17 | present |
| State Street Global Advisors Asia Limited 道富環球投資管理亞洲有限公司 |
RO | Type 2 — Dealing in futures contracts | 2023-05-17 | present |