Alistair John Barrie Griffin
This page summarises the Hong Kong Securities and Futures Commission (SFC) public register record for Alistair John Barrie Griffin ( ), a licensed former licensee with CE reference ABX134. Total licence records on file: 5.
Licence history
| Firm | Role | Regulated activity | From | To |
|---|---|---|---|---|
| Pemberton Investments (Hong Kong) Limited |
RO | Type 9 — Asset management | 2010-04-08 | 2022-06-30 |
| Standard Chartered Securities (Hong Kong) Limited 渣打證券(香港)有限公司 |
RO | Type 1 — Dealing in securities | present | 2009-09-12 |
| Standard Chartered Securities (Hong Kong) Limited 渣打證券(香港)有限公司 |
RO | Type 4 — Advising on securities | present | 2009-09-12 |
| Standard Chartered Securities (Hong Kong) Limited 渣打證券(香港)有限公司 |
RO | Type 6 — Advising on corporate finance | present | 2009-09-12 |
| Standard Chartered Securities (Hong Kong) Limited 渣打證券(香港)有限公司 |
RO | Type 9 — Asset management | present | 2009-09-12 |