Paul Simon Rhodes
This page summarises the Hong Kong Securities and Futures Commission (SFC) public register record for Paul Simon Rhodes, a licensed Responsible Officer with CE reference AJD741. Currently licensed at 2 firm(s): HSBC Global Asset Management (Hong Kong) Limited, HSBC Investment Funds (Hong Kong) Limited. Active regulated activities: Type 1 - Dealing in securities; Type 4 - Advising on securities; Type 9 - Asset management. Total licence records on file: 18.
Licence history
| Firm | Role | Regulated activity | From | To |
|---|---|---|---|---|
| HSBC Global Asset Management (Hong Kong) Limited | RO | Type 1 - Dealing in securities | 2024-07-30 | present |
| HSBC Investment Funds (Hong Kong) Limited | RO | Type 1 - Dealing in securities | 2024-07-30 | present |
| HSBC Global Asset Management (Hong Kong) Limited | RO | Type 4 - Advising on securities | 2024-07-30 | present |
| HSBC Investment Funds (Hong Kong) Limited | RO | Type 4 - Advising on securities | 2024-07-30 | present |
| HSBC Global Asset Management (Hong Kong) Limited | RO | Type 9 - Asset management | 2024-07-30 | present |
| HSBC Investment Funds (Hong Kong) Limited | RO | Type 9 - Asset management | 2024-07-30 | present |
| HSBC Global Asset Management (Hong Kong) Limited | Rep | Type 1 - Dealing in securities | 2024-05-07 | 2024-07-30 |
| HSBC Investment Funds (Hong Kong) Limited | Rep | Type 1 - Dealing in securities | 2024-05-07 | 2024-07-30 |
| HSBC Global Asset Management (Hong Kong) Limited | Rep | Type 4 - Advising on securities | 2024-05-07 | 2024-07-30 |
| HSBC Investment Funds (Hong Kong) Limited | Rep | Type 4 - Advising on securities | 2024-05-07 | 2024-07-30 |
| HSBC Global Asset Management (Hong Kong) Limited | Rep | Type 9 - Asset management | 2024-04-09 | 2024-07-30 |
| HSBC Investment Funds (Hong Kong) Limited | Rep | Type 9 - Asset management | 2024-04-09 | 2024-07-30 |
| Green Transition Partners Limited |
RO | Type 9 - Asset management | 2022-07-27 | 2023-12-27 |
| Goldman Sachs (Asia) L.L.C. 高盛(亞洲)有限責任公司 |
Rep | Type 4 - Advising on securities | 2007-04-02 | 2010-12-01 |
| Goldman Sachs Futures (Asia) Limited 高盛期貨(亞洲)有限公司 |
Rep | Type 5 - Advising on futures contracts | 2007-04-02 | 2010-12-01 |
| Goldman Sachs Futures (Asia) Limited 高盛期貨(亞洲)有限公司 |
Rep | Type 2 - Dealing in futures contracts | 2006-08-01 | 2010-12-01 |
| Goldman Sachs (Asia) L.L.C. 高盛(亞洲)有限責任公司 |
Rep | Type 1 - Dealing in securities | 2004-07-29 | 2019-03-15 |
| Credit Suisse (Hong Kong) Limited 瑞士信貸(香港)有限公司 |
Rep | Type 1 - Dealing in securities | 2003-09-05 | 2004-07-05 |