Walter Xavier Stanton III
This page summarises the Hong Kong Securities and Futures Commission (SFC) public register record for Walter Xavier Stanton III ( ), a licensed former licensee with CE reference AEA621. Total licence records on file: 7.
Licence history
| Firm | Role | Regulated activity | From | To |
|---|---|---|---|---|
| LGT Investment Management (Asia) Limited | RO | Type 1 — Dealing in securities | 2011-01-18 | 2023-04-18 |
| LGT Investment Management (Asia) Limited | RO | Type 4 — Advising on securities | 2011-01-18 | 2023-04-18 |
| LGT Investment Management (Asia) Limited | RO | Type 9 — Asset management | 2011-01-18 | 2023-04-18 |
| LGT Investment Management (Asia) Limited | Rep | Type 4 — Advising on securities | 2010-03-04 | 2011-01-18 |
| LGT Investment Management (Asia) Limited | Rep | Type 1 — Dealing in securities | 2010-01-13 | 2011-01-18 |
| Merrill Lynch (Asia Pacific) Limited | Rep | Type 1 — Dealing in securities | 2007-06-25 | 2009-09-28 |
| Merrill Lynch Futures (Hong Kong) Limited | Rep | Type 2 — Dealing in futures contracts | 2007-06-25 | 2009-09-28 |