James Shields Newman
This page summarises the Hong Kong Securities and Futures Commission (SFC) public register record for James Shields Newman ( ), a licensed former licensee with CE reference AEF921. Total licence records on file: 13.
Licence history
| Firm | Role | Regulated activity | From | To |
|---|---|---|---|---|
| AT Asset Management (Asia-Pacific) Limited 聯信亞太區資產管理有限公司 |
RO | Type 9 — Asset management | 2007-06-25 | 2008-08-01 |
| AT Asset Management (Asia-Pacific) Limited 聯信亞太區資產管理有限公司 |
Rep | Type 9 — Asset management | 2007-04-02 | 2007-06-25 |
| Tyric Capital Limited 泰瑞資本有限公司 |
Rep | Type 4 — Advising on securities | 2004-03-02 | 2004-09-30 |
| Tyric Capital Limited 泰瑞資本有限公司 |
Rep | Type 5 — Advising on futures contracts | 2004-03-02 | 2004-09-30 |
| Tyric Capital Limited 泰瑞資本有限公司 |
Rep | Type 9 — Asset management | 2004-03-02 | 2004-09-30 |
| Legg Mason International Equities (Hong Kong) Limited 美盛國際股票(香港)有限公司(以匯琛;匯琛新興巿場資產管理名義經營業務) |
Rep | Type 1 — Dealing in securities | present | 2004-01-31 |
| Legg Mason International Equities (Hong Kong) Limited 美盛國際股票(香港)有限公司(以匯琛;匯琛新興巿場資產管理名義經營業務) |
Rep | Type 6 — Advising on corporate finance | present | 2004-01-31 |
| Legg Mason Asset Management Hong Kong Limited 美盛資產管理香港有限公司 |
RO | Type 4 — Advising on securities | present | 2004-01-31 |
| Legg Mason International Equities (Hong Kong) Limited 美盛國際股票(香港)有限公司(以匯琛;匯琛新興巿場資產管理名義經營業務) |
RO | Type 4 — Advising on securities | present | 2004-01-31 |
| Legg Mason Asset Management Hong Kong Limited 美盛資產管理香港有限公司 |
RO | Type 5 — Advising on futures contracts | present | 2004-01-31 |
| Legg Mason International Equities (Hong Kong) Limited 美盛國際股票(香港)有限公司(以匯琛;匯琛新興巿場資產管理名義經營業務) |
RO | Type 5 — Advising on futures contracts | present | 2004-01-31 |
| Legg Mason Asset Management Hong Kong Limited 美盛資產管理香港有限公司 |
RO | Type 9 — Asset management | present | 2004-01-31 |
| Legg Mason International Equities (Hong Kong) Limited 美盛國際股票(香港)有限公司(以匯琛;匯琛新興巿場資產管理名義經營業務) |
RO | Type 9 — Asset management | present | 2004-01-31 |