SFC Licences of ROUNTREE Robert John
Source:
Official SFC record
Key: RE = Representative, RO = Responsible Officer, EO = Executive Officer
| Institution | Role | Licences | Start date | End date |
|---|---|---|---|---|
| Eastspring Investments (Hong Kong) Limited (trading as Eastspring Investments) 瀚亞投資(香港)有限公司 (以(瀚亞投資)名義經營業務) | RE | 1 | 07 October 2011 | 12 April 2019 |
| Eastspring Investments (Hong Kong) Limited (trading as Eastspring Investments) 瀚亞投資(香港)有限公司 (以(瀚亞投資)名義經營業務) | RE | 4 | 09 December 2003 | 12 April 2019 |
| Eastspring Investments (Hong Kong) Limited (trading as Eastspring Investments) 瀚亞投資(香港)有限公司 (以(瀚亞投資)名義經營業務) | RE | 9 | 03 December 2003 | 26 August 2011 |
| Monex Boom Securities (H.K.) Limited 寶盛證券(香港)有限公司 | RE | 9 | 01 April 2003 | 20 November 2003 |
| Monex Boom Securities (H.K.) Limited 寶盛證券(香港)有限公司 | RE | 7 | 01 April 2003 | 20 November 2003 |
| Monex Boom Securities (H.K.) Limited 寶盛證券(香港)有限公司 | RE | 1 | 01 April 2003 | 20 November 2003 |
| Monex Boom Securities (H.K.) Limited 寶盛證券(香港)有限公司 | RE | 4 | 01 April 2003 | 11 November 2003 |
| Monex Boom Securities (H.K.) Limited 寶盛證券(香港)有限公司 | RE | 6 | 01 April 2003 | 11 November 2003 |