Tristan James Baldwin
This page summarises the Hong Kong Securities and Futures Commission (SFC) public register record for Tristan James Baldwin, a licensed Responsible Officer with CE reference AUL980. Currently licensed at 1 firm(s): Liquidnet Asia Limited. Active regulated activities: Type 1 - Dealing in securities; Type 7 - Providing automated trading services. This person has 9.2 years of SFC licence history. Total licence records on file: 6.
Information
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Licence history
| Firm | Role | Regulated activity | From | To |
|---|---|---|---|---|
| Liquidnet Asia Limited 利貫交易網亞洲有限公司 |
RO | Type 1 - Dealing in securities | 2017-08-17 | present |
| Liquidnet Asia Limited 利貫交易網亞洲有限公司 |
RO | Type 7 - Providing automated trading services | 2017-08-17 | present |
| Liquidnet Asia Limited 利貫交易網亞洲有限公司 |
Rep | Type 1 - Dealing in securities | 2017-06-29 | 2017-08-17 |
| Liquidnet Asia Limited 利貫交易網亞洲有限公司 |
Rep | Type 7 - Providing automated trading services | 2017-06-29 | 2017-08-17 |
| Instinet Pacific Limited 極訊亞太有限公司 |
Rep | Type 1 - Dealing in securities | 2010-01-11 | 2010-02-11 |
| Instinet Pacific Limited 極訊亞太有限公司 |
Rep | Type 4 - Advising on securities | 2010-01-11 | 2010-02-11 |
Worked alongside
The 20 closest colleagues, strongest tie first — individuals licensed at the same firm as Tristan James Baldwin 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.