Rory Thomas Caines
This page summarises the Hong Kong Securities and Futures Commission (SFC) public register record for Rory Thomas Caines, a licensed Representative with CE reference BGM175. Currently licensed at 2 firm(s): JPMorgan Asset Management (Asia Pacific) Limited, JPMorgan Funds (Asia) Limited. Active regulated activities: Type 1 - Dealing in securities; Type 4 - Advising on securities; Type 9 - Asset management. Total licence records on file: 8.
Licence history
| Firm | Role | Regulated activity | From | To |
|---|---|---|---|---|
| JPMorgan Asset Management (Asia Pacific) Limited | Rep | Type 9 - Asset management | 2020-06-16 | present |
| JPMorgan Funds (Asia) Limited 摩根基金(亞洲)有限公司 |
Rep | Type 9 - Asset management | 2020-06-16 | present |
| JPMorgan Funds (Asia) Limited 摩根基金(亞洲)有限公司 |
Rep | Type 1 - Dealing in securities | 2020-05-25 | present |
| JPMorgan Asset Management (Asia Pacific) Limited | Rep | Type 4 - Advising on securities | 2020-05-25 | present |
| JPMorgan Funds (Asia) Limited 摩根基金(亞洲)有限公司 |
Rep | Type 4 - Advising on securities | 2020-05-25 | present |
| BlackRock Asset Management North Asia Limited 貝萊德資產管理北亞有限公司 |
Rep | Type 1 - Dealing in securities | 2015-11-05 | 2020-03-05 |
| BlackRock Asset Management North Asia Limited 貝萊德資產管理北亞有限公司 |
Rep | Type 4 - Advising on securities | 2015-11-05 | 2020-03-05 |
| BlackRock Asset Management North Asia Limited 貝萊德資產管理北亞有限公司 |
Rep | Type 6 - Advising on corporate finance | 2015-11-05 | 2020-03-05 |