Goldfeld, Leon

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Rep=Representative, RO=Responsible Officer. A person without a starting date was in that role since at least 1-Apr-2003 when the current register began.

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Organisation Role Activity From Until
1 Amundi Hong Kong Limited Rep Advising on securities 2012-04-23 2012-08-03
Rep Asset management 2012-04-23 2012-08-03
Rep Dealing in securities 2012-04-23 2012-08-03
RO Advising on securities 2012-08-03 2016-04-30
RO Asset management 2012-08-03 2016-04-30
RO Dealing in securities 2012-08-03 2016-04-30
2 AXA Investment Managers Asia Limited RO Advising on futures contracts 2004-05-31
RO Advising on securities 2004-05-31
RO Asset management 2004-05-31
3 AXA ROSENBERG INVESTMENT MANAGEMENT ASIA PACIFIC LIMITED RO Advising on corporate finance 2004-05-31
RO Advising on futures contracts 2004-05-31
RO Advising on securities 2004-05-31
RO Asset management 2004-05-31
RO Dealing in securities 2004-05-31
4 GOLDMAN SACHS (ASIA) L.L.C. Rep Dealing in securities 2010-06-30 2012-04-17
5 GOLDMAN SACHS FUTURES (ASIA) LIMITED Rep Dealing in futures contracts 2010-07-07 2012-04-17
6 Halbis Capital Management (Hong Kong) Limited Rep Dealing in securities 2004-07-20 2004-08-30
RO Advising on futures contracts 2005-06-23 2010-06-18
RO Advising on securities 2005-06-23 2010-06-18
RO Asset management 2005-06-23 2010-06-18
RO Dealing in securities 2005-06-23 2010-06-18
7 HSBC Global Asset Management (Hong Kong) Limited Rep Advising on futures contracts 2004-07-20 2004-09-09
Rep Advising on securities 2004-07-20 2004-09-09
Rep Asset management 2004-07-20 2004-09-09
RO Advising on futures contracts 2004-09-09 2010-06-18
RO Advising on securities 2004-09-09 2010-06-18
RO Asset management 2004-09-09 2010-06-18
RO Dealing in securities 2006-03-29 2010-06-18
8 HSBC Global Asset Management Holdings (Bahamas) Limited Rep Advising on futures contracts 2004-07-20 2004-09-09
Rep Advising on securities 2004-07-20 2004-09-09
Rep Asset management 2004-07-20 2004-09-09
RO Advising on futures contracts 2004-09-09 2010-06-18
RO Advising on securities 2004-09-09 2010-06-18
RO Asset management 2004-09-09 2010-06-18
9 HSBC INVESTMENT FUNDS (HONG KONG) LIMITED Rep Advising on futures contracts 2004-07-20 2004-09-09
Rep Advising on securities 2004-07-20 2004-09-09
Rep Asset management 2004-07-20 2004-09-09
Rep Dealing in securities 2004-07-20 2004-09-09
RO Advising on futures contracts 2004-09-09 2010-06-18
RO Advising on securities 2004-09-09 2010-06-18
RO Asset management 2004-09-09 2010-06-18
RO Dealing in securities 2004-09-09 2010-06-18
10 JPMorgan Asset Management (Asia Pacific) Limited Rep Advising on securities 2016-05-06 2016-07-25
Rep Asset management 2016-05-06 2016-07-25
RO Advising on securities 2016-07-25
RO Asset management 2016-07-25
RO Advising on futures contracts 2018-08-07

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