John David Pies
This page summarises the Hong Kong Securities and Futures Commission (SFC) public register record for John David Pies ( ), a licensed former licensee with CE reference ATB523. Total licence records on file: 3.
Licence history
| Firm | Role | Regulated activity | From | To |
|---|---|---|---|---|
| Upbest Assets Management Limited 美建管理有限公司 |
Rep | Type 9 — Asset management | 2010-03-19 | 2010-11-12 |
| Upbest Securities Company Limited 美建證券有限公司 |
Rep | Type 1 — Dealing in securities | 2009-07-10 | 2010-11-12 |
| Upbest Securities Company Limited 美建證券有限公司 |
Rep | Type 9 — Asset management | 2009-07-10 | 2010-11-12 |