Dominic Noel Swan
This page summarises the Hong Kong Securities and Futures Commission (SFC) public register record for Dominic Noel Swan, a licensed former licensee with CE reference AUQ036. This person has 0.1 years of SFC licence history. Total licence records on file: 9.
Information
- LinkedIn:
- Email:
Licence history
| Firm | Role | Regulated activity | From | To |
|---|---|---|---|---|
| HSBC Global Asset Management (Hong Kong) Limited | Rep | Type 1 - Dealing in securities | 2019-10-24 | 2019-11-01 |
| HSBC Investment Funds (Hong Kong) Limited | Rep | Type 1 - Dealing in securities | 2019-10-24 | 2019-11-01 |
| HSBC Global Asset Management (Hong Kong) Limited | Rep | Type 1 - Dealing in securities | 2019-05-20 | 2019-05-24 |
| HSBC Investment Funds (Hong Kong) Limited | Rep | Type 1 - Dealing in securities | 2019-05-20 | 2019-05-24 |
| HSBC Global Asset Management (Hong Kong) Limited | Rep | Type 1 - Dealing in securities | 2019-01-24 | 2019-02-01 |
| HSBC Investment Funds (Hong Kong) Limited | Rep | Type 1 - Dealing in securities | 2019-01-24 | 2019-02-01 |
| HSBC Global Asset Management (Hong Kong) Limited | Rep | Type 1 - Dealing in securities | 2010-01-26 | 2010-02-25 |
| HSBC Investment Funds (Hong Kong) Limited | Rep | Type 1 - Dealing in securities | 2010-01-26 | 2010-02-25 |
| Halbis Capital Management (Hong Kong) Limited | Rep | Type 1 - Dealing in securities | 2010-01-26 | 2010-02-25 |
Worked alongside
The 20 closest colleagues, strongest tie first — individuals licensed at the same firm as Dominic Noel Swan during overlapping periods. Ranked by how long they overlapped and how similar their regulated activities were, with shared time at a smaller firm weighted more than at a large one. See the detailed formula.