Stuart Wesley Grattan Guinness
This page summarises the Hong Kong Securities and Futures Commission (SFC) public register record for Stuart Wesley Grattan Guinness ( ), a licensed former licensee with CE reference ARG897. Total licence records on file: 9.
Licence history
| Firm | Role | Regulated activity | From | To |
|---|---|---|---|---|
| BNY Mellon Investment Management Hong Kong Limited 紐約梅隆投資管理香港有限公司 |
Rep | Type 1 — Dealing in securities | 2014-03-10 | 2014-07-14 |
| BNY Mellon Investment Management Hong Kong Limited 紐約梅隆投資管理香港有限公司 |
Rep | Type 4 — Advising on securities | 2014-03-10 | 2014-07-14 |
| Credit Suisse (Hong Kong) Limited 瑞士信貸(香港)有限公司 |
RO | Type 1 — Dealing in securities | 2012-02-16 | 2012-11-10 |
| Credit Suisse (Hong Kong) Limited 瑞士信貸(香港)有限公司 |
RO | Type 4 — Advising on securities | 2012-02-16 | 2012-11-10 |
| Credit Suisse (Hong Kong) Limited 瑞士信貸(香港)有限公司 |
Rep | Type 1 — Dealing in securities | 2011-12-07 | 2012-02-16 |
| Credit Suisse (Hong Kong) Limited 瑞士信貸(香港)有限公司 |
Rep | Type 4 — Advising on securities | 2011-12-07 | 2012-02-16 |
| FIL Investment Management (Hong Kong) Limited 富達基金(香港)有限公司 |
Rep | Type 1 — Dealing in securities | 2008-07-03 | 2009-04-01 |
| FIL Investment Management (Hong Kong) Limited 富達基金(香港)有限公司 |
Rep | Type 4 — Advising on securities | 2008-07-03 | 2009-04-01 |
| FIL Investment Management (Hong Kong) Limited 富達基金(香港)有限公司 |
Rep | Type 9 — Asset management | 2008-07-03 | 2009-04-01 |