Richard Iwan Jones
This page summarises the Hong Kong Securities and Futures Commission (SFC) public register record for Richard Iwan Jones ( ), a licensed former licensee with CE reference AGA305. Total licence records on file: 12.
Licence history
| Firm | Role | Regulated activity | From | To |
|---|---|---|---|---|
| First Sentier Investors (Hong Kong) Limited | RO | Type 1 — Dealing in securities | 2011-12-20 | 2025-02-01 |
| First Sentier Investors (Hong Kong) Limited | RO | Type 4 — Advising on securities | 2011-12-20 | 2025-02-01 |
| First Sentier Investors (Hong Kong) Limited | RO | Type 9 — Asset management | 2011-12-20 | 2025-02-01 |
| First Sentier Investors (Hong Kong) Limited | Rep | Type 1 — Dealing in securities | 2010-01-26 | 2011-12-20 |
| First Sentier Investors (Hong Kong) Limited | Rep | Type 4 — Advising on securities | 2010-01-26 | 2011-12-20 |
| First Sentier Investors (Hong Kong) Limited | Rep | Type 9 — Asset management | 2010-01-26 | 2011-12-20 |
| DWS Investments Hong Kong Limited 德意志投資香港有限公司 |
RO | Type 1 — Dealing in securities | 2007-10-25 | 2009-09-15 |
| DWS Investments Hong Kong Limited 德意志投資香港有限公司 |
RO | Type 4 — Advising on securities | 2007-10-25 | 2009-09-15 |
| DWS Investments Hong Kong Limited 德意志投資香港有限公司 |
RO | Type 9 — Asset management | 2007-10-25 | 2009-09-15 |
| DWS Investments Hong Kong Limited 德意志投資香港有限公司 |
Rep | Type 1 — Dealing in securities | 2006-02-14 | 2007-10-25 |
| DWS Investments Hong Kong Limited 德意志投資香港有限公司 |
Rep | Type 4 — Advising on securities | 2006-02-14 | 2007-10-25 |
| DWS Investments Hong Kong Limited 德意志投資香港有限公司 |
Rep | Type 9 — Asset management | 2006-02-14 | 2007-10-25 |