Robert John Rountree
This page summarises the Hong Kong Securities and Futures Commission (SFC) public register record for Robert John Rountree ( ), a licensed former licensee with CE reference AAW380. Total licence records on file: 8.
Licence history
| Firm | Role | Regulated activity | From | To |
|---|---|---|---|---|
| Eastspring Investments (Hong Kong) Limited 瀚亞投資(香港)有限公司(以(瀚亞投資)名義經營業務) |
Rep | Type 1 — Dealing in securities | 2011-10-07 | 2019-04-12 |
| Eastspring Investments (Hong Kong) Limited 瀚亞投資(香港)有限公司(以(瀚亞投資)名義經營業務) |
Rep | Type 4 — Advising on securities | 2003-12-09 | 2019-04-12 |
| Eastspring Investments (Hong Kong) Limited 瀚亞投資(香港)有限公司(以(瀚亞投資)名義經營業務) |
Rep | Type 9 — Asset management | 2003-12-03 | 2011-08-26 |
| Boom Securities (H.K.) Limited 寶盛證券(香港)有限公司 |
Rep | Type 1 — Dealing in securities | present | 2003-11-20 |
| Boom Securities (H.K.) Limited 寶盛證券(香港)有限公司 |
Rep | Type 4 — Advising on securities | present | 2003-11-11 |
| Boom Securities (H.K.) Limited 寶盛證券(香港)有限公司 |
Rep | Type 6 — Advising on corporate finance | present | 2003-11-11 |
| Boom Securities (H.K.) Limited 寶盛證券(香港)有限公司 |
Rep | Type 7 — Providing automated trading services | present | 2003-11-20 |
| Boom Securities (H.K.) Limited 寶盛證券(香港)有限公司 |
Rep | Type 9 — Asset management | present | 2003-11-20 |