Donald Brian Fries Jr
This page summarises the Hong Kong Securities and Futures Commission (SFC) public register record for Donald Brian Fries Jr ( ), a licensed former licensee with CE reference BDW962. Total licence records on file: 12.
Licence history
| Firm | Role | Regulated activity | From | To |
|---|---|---|---|---|
| SFM HK Management Limited 索羅斯基金管理(香港)有限公司 |
RO | Type 1 — Dealing in securities | 2021-02-18 | 2024-04-24 |
| SFM HK Management Limited 索羅斯基金管理(香港)有限公司 |
RO | Type 2 — Dealing in futures contracts | 2021-02-18 | 2024-04-24 |
| SFM HK Management Limited 索羅斯基金管理(香港)有限公司 |
RO | Type 9 — Asset management | 2021-02-18 | 2024-04-24 |
| SFM HK Management Limited 索羅斯基金管理(香港)有限公司 |
Rep | Type 1 — Dealing in securities | 2021-02-08 | 2021-02-18 |
| SFM HK Management Limited 索羅斯基金管理(香港)有限公司 |
Rep | Type 2 — Dealing in futures contracts | 2021-02-08 | 2021-02-18 |
| SFM HK Management Limited 索羅斯基金管理(香港)有限公司 |
Rep | Type 9 — Asset management | 2021-02-08 | 2021-02-18 |
| Goldman Sachs (Asia) L.L.C. 高盛(亞洲)有限責任公司 |
Rep | Type 1 — Dealing in securities | 2017-04-18 | 2020-12-26 |
| Goldman Sachs (Asia) Securities Limited 高盛(亞洲)證券有限公司 |
Rep | Type 1 — Dealing in securities | 2017-04-18 | 2020-12-26 |
| Goldman Sachs (Asia) Securities Limited 高盛(亞洲)證券有限公司 |
Rep | Type 2 — Dealing in futures contracts | 2017-04-18 | 2020-12-26 |
| Pine River Capital Management (HK) Limited | Rep | Type 9 — Asset management | 2016-11-30 | 2017-02-24 |
| Pine River Capital Management (HK) Limited | RO | Type 9 — Asset management | 2015-05-15 | 2016-11-30 |
| Pine River Capital Management (HK) Limited | Rep | Type 9 — Asset management | 2014-07-29 | 2015-05-15 |