Joseph Kim
This page summarises the Hong Kong Securities and Futures Commission (SFC) public register record for Joseph Kim ( ), a licensed former licensee with CE reference AYR243. Total licence records on file: 10.
Licence history
| Firm | Role | Regulated activity | From | To |
|---|---|---|---|---|
| SAIL Advisors Limited | Rep | Type 4 — Advising on securities | 2014-02-19 | 2014-12-10 |
| SAIL Advisors Limited | Rep | Type 9 — Asset management | 2014-02-19 | 2014-12-10 |
| HSBC Global Asset Management Holdings (Bahamas) Limited | Rep | Type 4 — Advising on securities | 2012-10-12 | 2014-01-14 |
| HSBC Global Asset Management Holdings (Bahamas) Limited | Rep | Type 9 — Asset management | 2012-10-12 | 2014-01-14 |
| HSBC Global Asset Management (Hong Kong) Limited | Rep | Type 1 — Dealing in securities | 2011-12-13 | 2014-01-14 |
| HSBC Investment Funds (Hong Kong) Limited | Rep | Type 1 — Dealing in securities | 2011-12-13 | 2014-01-14 |
| HSBC Global Asset Management (Hong Kong) Limited | Rep | Type 4 — Advising on securities | 2011-12-13 | 2014-01-14 |
| HSBC Investment Funds (Hong Kong) Limited | Rep | Type 4 — Advising on securities | 2011-12-13 | 2014-01-14 |
| HSBC Global Asset Management (Hong Kong) Limited | Rep | Type 9 — Asset management | 2011-12-13 | 2014-01-14 |
| HSBC Investment Funds (Hong Kong) Limited | Rep | Type 9 — Asset management | 2011-12-13 | 2014-01-14 |