Mark Joseph Pearce Serocold
This page summarises the Hong Kong Securities and Futures Commission (SFC) public register record for Mark Joseph Pearce Serocold ( ), a licensed former licensee with CE reference AWI427. Total licence records on file: 6.
Licence history
| Firm | Role | Regulated activity | From | To |
|---|---|---|---|---|
| Neuberger Berman Asia Limited | Rep | Type 1 - Dealing in securities | 2012-05-02 | 2016-04-05 |
| Neuberger Berman Asia Limited | Rep | Type 4 - Advising on securities | 2012-05-02 | 2016-04-05 |
| Neuberger Berman Asia Limited | Rep | Type 9 - Asset management | 2012-05-02 | 2016-04-05 |
| Schroder Investment Management (Hong Kong) Limited | Rep | Type 1 - Dealing in securities | 2010-11-23 | 2012-04-13 |
| Schroder Investment Management (Hong Kong) Limited | Rep | Type 4 - Advising on securities | 2010-11-23 | 2012-04-13 |
| Schroder Investment Management (Hong Kong) Limited | Rep | Type 9 - Asset management | 2010-11-23 | 2012-04-13 |