Simon Richard Flood
This page summarises the Hong Kong Securities and Futures Commission (SFC) public register record for Simon Richard Flood ( ), a licensed former licensee with CE reference ALI697. Total licence records on file: 14.
Licence history
| Firm | Role | Regulated activity | From | To |
|---|---|---|---|---|
| AXA Investment Managers Asia Limited 安盛投資管理亞洲有限公司 |
RO | Type 1 — Dealing in securities | 2014-10-17 | 2015-02-18 |
| AXA Rosenberg Investment Management Asia Pacific Limited 安盛羅森堡投資管理亞太有限公司(以AXARosenbergAsiaPacific;AXAInvestmentManagers名義經營業務) |
RO | Type 1 — Dealing in securities | 2014-10-17 | 2015-02-18 |
| AXA Investment Managers Asia Limited 安盛投資管理亞洲有限公司 |
RO | Type 4 — Advising on securities | 2014-10-17 | 2015-02-18 |
| AXA Rosenberg Investment Management Asia Pacific Limited 安盛羅森堡投資管理亞太有限公司(以AXARosenbergAsiaPacific;AXAInvestmentManagers名義經營業務) |
RO | Type 4 — Advising on securities | 2014-10-17 | 2015-02-18 |
| AXA Investment Managers Asia Limited 安盛投資管理亞洲有限公司 |
RO | Type 5 — Advising on futures contracts | 2014-10-17 | 2015-02-18 |
| AXA Rosenberg Investment Management Asia Pacific Limited 安盛羅森堡投資管理亞太有限公司(以AXARosenbergAsiaPacific;AXAInvestmentManagers名義經營業務) |
RO | Type 5 — Advising on futures contracts | 2014-10-17 | 2015-02-18 |
| AXA Investment Managers Asia Limited 安盛投資管理亞洲有限公司 |
RO | Type 9 — Asset management | 2014-10-17 | 2015-02-18 |
| AXA Rosenberg Investment Management Asia Pacific Limited 安盛羅森堡投資管理亞太有限公司(以AXARosenbergAsiaPacific;AXAInvestmentManagers名義經營業務) |
RO | Type 9 — Asset management | 2014-10-17 | 2015-02-18 |
| BlackRock (Hong Kong) Limited 貝萊德(香港)有限公司 |
RO | Type 1 — Dealing in securities | 2005-04-11 | 2006-08-31 |
| BlackRock (Hong Kong) Limited 貝萊德(香港)有限公司 |
RO | Type 4 — Advising on securities | 2005-04-11 | 2006-08-31 |
| BlackRock (Hong Kong) Limited 貝萊德(香港)有限公司 |
RO | Type 9 — Asset management | 2005-04-11 | 2006-08-31 |
| BlackRock (Hong Kong) Limited 貝萊德(香港)有限公司 |
Rep | Type 4 — Advising on securities | 2005-01-03 | 2005-04-11 |
| BlackRock (Hong Kong) Limited 貝萊德(香港)有限公司 |
Rep | Type 1 — Dealing in securities | 2004-10-21 | 2005-04-11 |
| BlackRock (Hong Kong) Limited 貝萊德(香港)有限公司 |
Rep | Type 9 — Asset management | 2004-10-21 | 2005-04-11 |