Thomas James Duffy
This page summarises the Hong Kong Securities and Futures Commission (SFC) public register record for Thomas James Duffy ( ), a licensed former licensee with CE reference AAK183. Total licence records on file: 4.
Licence history
| Firm | Role | Regulated activity | From | To |
|---|---|---|---|---|
| Franklin Templeton Investments (Asia) Limited 富蘭克林鄧普頓投資(亞洲)有限公司 |
RO | Type 9 — Asset management | 2005-01-20 | 2005-07-22 |
| Franklin Templeton Institutional Asia Limited 富蘭克林鄧普頓機構投資亞洲有限公司 |
RO | Type 4 — Advising on securities | present | 2005-01-07 |
| Franklin Templeton Institutional Asia Limited 富蘭克林鄧普頓機構投資亞洲有限公司 |
RO | Type 6 — Advising on corporate finance | present | 2005-01-07 |
| Franklin Templeton Institutional Asia Limited 富蘭克林鄧普頓機構投資亞洲有限公司 |
RO | Type 9 — Asset management | present | 2005-01-11 |