Manning Lea Doherty
This page summarises the Hong Kong Securities and Futures Commission (SFC) public register record for Manning Lea Doherty ( ), a licensed former licensee with CE reference AFA132. Total licence records on file: 8.
Licence history
| Firm | Role | Regulated activity | From | To |
|---|---|---|---|---|
| Mount Kellett Capital (Hong Kong) Limited 奇力資本(香港)有限公司 |
Rep | Type 9 — Asset management | 2011-12-05 | 2015-06-30 |
| Oaktree Capital (Hong Kong) Limited | Rep | Type 1 — Dealing in securities | 2007-11-16 | 2011-10-28 |
| Oaktree Capital (Hong Kong) Limited | Rep | Type 9 — Asset management | 2006-08-30 | 2011-10-28 |
| Oaktree Capital (Hong Kong) Limited | Rep | Type 4 — Advising on securities | 2006-08-07 | 2011-10-28 |
| Goldman Sachs (Asia) L.L.C. 高盛(亞洲)有限責任公司 |
Rep | Type 1 — Dealing in securities | present | 2006-07-15 |
| Goldman Sachs (Asia) L.L.C. 高盛(亞洲)有限責任公司 |
Rep | Type 4 — Advising on securities | present | 2006-07-15 |
| Goldman Sachs (Asia) L.L.C. 高盛(亞洲)有限責任公司 |
Rep | Type 6 — Advising on corporate finance | present | 2004-10-13 |
| Goldman Sachs (Asia) L.L.C. 高盛(亞洲)有限責任公司 |
Rep | Type 9 — Asset management | present | 2004-10-13 |