SFC Licences of GOULD Denis James

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

Institution Role Licences Start date End date
HSBC Investment Funds (Hong Kong) Limited RO 9 12 October 2011 31 August 2022
HSBC Investment Funds (Hong Kong) Limited RO 5 12 October 2011 31 August 2022
HSBC Investment Funds (Hong Kong) Limited RO 4 12 October 2011 31 August 2022
HSBC Investment Funds (Hong Kong) Limited RO 1 12 October 2011 31 August 2022
HSBC Global Asset Management (Hong Kong) Limited RO 9 12 October 2011 31 August 2022
HSBC Global Asset Management (Hong Kong) Limited RO 5 12 October 2011 31 August 2022
HSBC Global Asset Management (Hong Kong) Limited RO 4 12 October 2011 31 August 2022
HSBC Global Asset Management (Hong Kong) Limited RO 2 12 October 2011 31 August 2022
HSBC Global Asset Management (Hong Kong) Limited RO 1 12 October 2011 31 August 2022
HSBC Global Asset Management Holdings (Bahamas) Limited RO 9 12 October 2011 31 August 2022
HSBC Global Asset Management Holdings (Bahamas) Limited RO 5 12 October 2011 20 January 2020
HSBC Global Asset Management Holdings (Bahamas) Limited RO 4 12 October 2011 20 January 2020
Halbis Capital Management (Hong Kong) Limited RO 9 12 October 2011 31 December 2011
Halbis Capital Management (Hong Kong) Limited RO 5 12 October 2011 31 December 2011
Halbis Capital Management (Hong Kong) Limited RO 4 12 October 2011 31 December 2011
Halbis Capital Management (Hong Kong) Limited RO 2 12 October 2011 31 December 2011
Halbis Capital Management (Hong Kong) Limited RO 1 12 October 2011 31 December 2011
HSBC Investment Funds (Hong Kong) Limited RE 1 07 July 2011 12 October 2011
HSBC Global Asset Management (Hong Kong) Limited RE 9 07 July 2011 12 October 2011
HSBC Global Asset Management (Hong Kong) Limited RE 5 07 July 2011 12 October 2011
HSBC Global Asset Management (Hong Kong) Limited RE 4 07 July 2011 12 October 2011
HSBC Global Asset Management (Hong Kong) Limited RE 1 07 July 2011 12 October 2011
AXA Financial Planning (Hong Kong) Limited 安盛理財策劃(香港)有限公司 RO 9 04 August 2009 24 June 2011
AXA China Region Investment Services Limited 安盛投資服務有限公司 RO 9 04 August 2009 24 June 2011
AXA Rosenberg Investment Management Asia Pacific Limited (trading as AXA Rosenberg Asia Pacific; AXA Investment Managers) 安盛羅森堡投資管理亞太有限公司 (以AXA Rosenberg Asia Pacific; AXA Investment Managers名義經營業務) RO 9 27 February 2009 24 June 2011
AXA Rosenberg Investment Management Asia Pacific Limited (trading as AXA Rosenberg Asia Pacific; AXA Investment Managers) 安盛羅森堡投資管理亞太有限公司 (以AXA Rosenberg Asia Pacific; AXA Investment Managers名義經營業務) RO 5 27 February 2009 24 June 2011
AXA Rosenberg Investment Management Asia Pacific Limited (trading as AXA Rosenberg Asia Pacific; AXA Investment Managers) 安盛羅森堡投資管理亞太有限公司 (以AXA Rosenberg Asia Pacific; AXA Investment Managers名義經營業務) RO 4 27 February 2009 24 June 2011
AXA Rosenberg Investment Management Asia Pacific Limited (trading as AXA Rosenberg Asia Pacific; AXA Investment Managers) 安盛羅森堡投資管理亞太有限公司 (以AXA Rosenberg Asia Pacific; AXA Investment Managers名義經營業務) RO 1 27 February 2009 24 June 2011
AXA Investment Managers Asia Limited 安盛投資管理亞洲有限公司 RO 9 27 February 2009 24 June 2011
AXA Investment Managers Asia Limited 安盛投資管理亞洲有限公司 RO 5 27 February 2009 24 June 2011
AXA Investment Managers Asia Limited 安盛投資管理亞洲有限公司 RO 4 27 February 2009 24 June 2011
AXA Investment Managers Asia Limited 安盛投資管理亞洲有限公司 RO 1 27 February 2009 24 June 2011