James Christopher Veneau
This page summarises the Hong Kong Securities and Futures Commission (SFC) public register record for James Christopher Veneau ( ), a licensed former licensee with CE reference ATY073. Total licence records on file: 20.
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 3 — Leveraged foreign exchange trading | 2020-01-09 | 2023-08-31 |
| AXA Investment Managers Asia Limited 安盛投資管理亞洲有限公司 |
RO | Type 2 — Dealing in futures contracts | 2018-02-09 | 2023-08-31 |
| AXA Investment Managers Asia Limited 安盛投資管理亞洲有限公司 |
RO | Type 1 — Dealing in securities | 2015-05-29 | 2023-08-31 |
| 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 | 2015-05-29 | 2017-10-31 |
| AXA Investment Managers Asia Limited 安盛投資管理亞洲有限公司 |
RO | Type 4 — Advising on securities | 2015-05-29 | 2023-08-31 |
| 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 | 2015-05-29 | 2017-10-31 |
| AXA Investment Managers Asia Limited 安盛投資管理亞洲有限公司 |
RO | Type 9 — Asset management | 2015-05-29 | 2023-08-31 |
| 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 | 2015-05-29 | 2017-10-31 |
| AXA Investment Managers Asia Limited 安盛投資管理亞洲有限公司 |
Rep | Type 1 — Dealing in securities | 2013-12-09 | 2015-05-29 |
| 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) |
Rep | Type 1 — Dealing in securities | 2013-12-09 | 2015-05-29 |
| AXA Investment Managers Asia Limited 安盛投資管理亞洲有限公司 |
Rep | Type 4 — Advising on securities | 2013-12-09 | 2015-05-29 |
| 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) |
Rep | Type 4 — Advising on securities | 2013-12-09 | 2015-05-29 |
| AXA Investment Managers Asia Limited 安盛投資管理亞洲有限公司 |
Rep | Type 9 — Asset management | 2013-12-09 | 2015-05-29 |
| 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) |
Rep | Type 9 — Asset management | 2013-12-09 | 2015-05-29 |
| HSBC Global Asset Management (Hong Kong) Limited | Rep | Type 1 — Dealing in securities | 2011-03-30 | 2013-11-01 |
| Halbis Capital Management (Hong Kong) Limited | Rep | Type 1 — Dealing in securities | 2011-03-30 | 2011-12-31 |
| HSBC Global Asset Management (Hong Kong) Limited | Rep | Type 4 — Advising on securities | 2010-06-24 | 2013-11-01 |
| HSBC Global Asset Management (Hong Kong) Limited | Rep | Type 9 — Asset management | 2010-06-24 | 2013-11-01 |
| Halbis Capital Management (Hong Kong) Limited | Rep | Type 4 — Advising on securities | 2009-10-27 | 2011-12-31 |
| Halbis Capital Management (Hong Kong) Limited | Rep | Type 9 — Asset management | 2009-10-27 | 2011-12-31 |