Thomas Douglas Tremayne Waring
This page summarises the Hong Kong Securities and Futures Commission (SFC) public register record for Thomas Douglas Tremayne Waring, a licensed former licensee with CE reference AAJ718. This person has 4.5 years of SFC licence history. Total licence records on file: 12.
Information
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Licence history
| Firm | Role | Regulated activity | From | To |
|---|---|---|---|---|
| orientiert International Markets Limited | RO | Type 1 - Dealing in securities | 2007-06-29 | 2008-04-18 |
| orientiert International Markets Limited | RO | Type 4 - Advising on securities | 2007-04-20 | 2008-04-18 |
| orientiert International Markets Limited | RO | Type 9 - Asset management | 2007-04-20 | 2008-04-18 |
| orientiert International Markets Limited | Rep | Type 4 - Advising on securities | 2007-03-14 | 2007-04-20 |
| orientiert International Markets Limited | Rep | Type 9 - Asset management | 2007-03-14 | 2007-04-20 |
| First Sentier Investors (Hong Kong) Limited | RO | Type 1 - Dealing in securities | Pre-2003 | 2006-08-31 |
| First Sentier Investors (Hong Kong) Limited | RO | Type 4 - Advising on securities | Pre-2003 | 2006-08-31 |
| First State (Hong Kong) LLC | RO | Type 4 - Advising on securities | Pre-2003 | 2006-08-31 |
| First Sentier Investors (Hong Kong) Limited | RO | Type 6 - Advising on corporate finance | Pre-2003 | 2005-03-11 |
| First State (Hong Kong) LLC | RO | Type 6 - Advising on corporate finance | Pre-2003 | 2005-03-11 |
| First Sentier Investors (Hong Kong) Limited | RO | Type 9 - Asset management | Pre-2003 | 2006-08-31 |
| First State (Hong Kong) LLC | RO | Type 9 - Asset management | Pre-2003 | 2006-08-31 |
Worked alongside
The 20 closest colleagues, strongest tie first — individuals licensed at the same firm as Thomas Douglas Tremayne Waring during overlapping periods. Ranked by how long they overlapped and how similar their regulated activities were, with shared time at a smaller firm weighted more than at a large one. See the detailed formula.