Joshua Dunham Bateman
This page summarises the Hong Kong Securities and Futures Commission (SFC) public register record for Joshua Dunham Bateman ( ), a licensed former licensee with CE reference AYS697. Total licence records on file: 3.
Licence history
| Firm | Role | Regulated activity | From | To |
|---|---|---|---|---|
| Legg Mason Asset Management Hong Kong Limited 美盛資產管理香港有限公司 |
Rep | Type 1 — Dealing in securities | 2012-01-06 | 2012-09-03 |
| Legg Mason Asset Management Hong Kong Limited 美盛資產管理香港有限公司 |
Rep | Type 4 — Advising on securities | 2012-01-06 | 2012-09-03 |
| Legg Mason Asset Management Hong Kong Limited 美盛資產管理香港有限公司 |
Rep | Type 9 — Asset management | 2012-01-06 | 2012-09-03 |