Thomas James Duffy
This page summarises the Hong Kong Securities and Futures Commission (SFC) public register record for Thomas James Duffy, a licensed former licensee with CE reference AAK183. This person has 2.3 years of SFC licence history. Total licence records on file: 4.
Information
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Licence history
| Firm | Role | Regulated activity | From | To |
|---|---|---|---|---|
| Franklin Templeton Investments (Asia) Limited 富蘭克林鄧普頓投資(亞洲)有限公司 |
RO | Type 9 - Asset management | 2005-01-20 | 2005-07-22 |
| Franklin Templeton Institutional Asia Limited 富蘭克林鄧普頓機構投資亞洲有限公司 |
RO | Type 4 - Advising on securities | Pre-2003 | 2005-01-07 |
| Franklin Templeton Institutional Asia Limited 富蘭克林鄧普頓機構投資亞洲有限公司 |
RO | Type 6 - Advising on corporate finance | Pre-2003 | 2005-01-07 |
| Franklin Templeton Institutional Asia Limited 富蘭克林鄧普頓機構投資亞洲有限公司 |
RO | Type 9 - Asset management | Pre-2003 | 2005-01-11 |
Worked alongside
The 20 closest colleagues, strongest tie first — individuals licensed at the same firm as Thomas James Duffy during overlapping periods. Ranked by how long they overlapped and how similar their regulated activities were, with shared time at a smaller firm weighted more than at a large one. See the detailed formula.