SFC Licences of NEWMAN James Shields

Source: Official SFC record
Key: RE = Representative, RO = Responsible Officer, EO = Executive Officer

Institution	Role	Licences	Start date	End date
AT Asset Management (Asia-Pacific) Limited 聯信亞太區資產管理有限公司	RO	9	25 June 2007	01 August 2008
AT Asset Management (Asia-Pacific) Limited 聯信亞太區資產管理有限公司	RE	9	02 April 2007	25 June 2007
Doric Capital Corporation 多利資本有限公司	RE	9	02 March 2004	30 September 2004
Doric Capital Corporation 多利資本有限公司	RE	5	02 March 2004	30 September 2004
Doric Capital Corporation 多利資本有限公司	RE	4	02 March 2004	30 September 2004
Legg Mason Asset Management Hong Kong Limited 美盛資產管理香港有限公司	RO	5	01 April 2003	31 January 2004
Legg Mason Asset Management Hong Kong Limited 美盛資產管理香港有限公司	RO	9	01 April 2003	31 January 2004
Legg Mason International Equities (Hong Kong) Limited (trading as Esemplia; Esemplia Emerging Markets) 美盛國際股票(香港)有限公司 (以匯琛; 匯琛新興巿場資產管理名義經營業務)	RE	1	01 April 2003	31 January 2004
Legg Mason International Equities (Hong Kong) Limited (trading as Esemplia; Esemplia Emerging Markets) 美盛國際股票(香港)有限公司 (以匯琛; 匯琛新興巿場資產管理名義經營業務)	RE	6	01 April 2003	31 January 2004
Legg Mason International Equities (Hong Kong) Limited (trading as Esemplia; Esemplia Emerging Markets) 美盛國際股票(香港)有限公司 (以匯琛; 匯琛新興巿場資產管理名義經營業務)	RO	4	01 April 2003	31 January 2004
Legg Mason International Equities (Hong Kong) Limited (trading as Esemplia; Esemplia Emerging Markets) 美盛國際股票(香港)有限公司 (以匯琛; 匯琛新興巿場資產管理名義經營業務)	RO	5	01 April 2003	31 January 2004
Legg Mason International Equities (Hong Kong) Limited (trading as Esemplia; Esemplia Emerging Markets) 美盛國際股票(香港)有限公司 (以匯琛; 匯琛新興巿場資產管理名義經營業務)	RO	9	01 April 2003	31 January 2004
Legg Mason Asset Management Hong Kong Limited 美盛資產管理香港有限公司	RO	4	01 April 2003	31 January 2004