Goldfeld, Leon

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SFC licenses

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 HSBC Global Asset Management (Hong Kong) Limited Rep Advising on futures contracts 2004-07-20 2004-09-09
2 HSBC Global Asset Management Holdings (Bahamas) Limited Rep Advising on futures contracts 2004-07-20 2004-09-09
3 HSBC INVESTMENT FUNDS (HONG KONG) LIMITED Rep Advising on futures contracts 2004-07-20 2004-09-09
4 HSBC Global Asset Management (Hong Kong) Limited Rep Advising on securities 2004-07-20 2004-09-09
5 HSBC Global Asset Management Holdings (Bahamas) Limited Rep Advising on securities 2004-07-20 2004-09-09
6 HSBC INVESTMENT FUNDS (HONG KONG) LIMITED Rep Advising on securities 2004-07-20 2004-09-09
7 Amundi Hong Kong Limited Rep Advising on securities 2012-04-23 2012-08-03
8 JPMorgan Asset Management (Asia Pacific) Limited Rep Advising on securities 2016-05-06 2016-07-25
9 HSBC Global Asset Management (Hong Kong) Limited Rep Asset management 2004-07-20 2004-09-09
10 HSBC Global Asset Management Holdings (Bahamas) Limited Rep Asset management 2004-07-20 2004-09-09
11 HSBC INVESTMENT FUNDS (HONG KONG) LIMITED Rep Asset management 2004-07-20 2004-09-09
12 Amundi Hong Kong Limited Rep Asset management 2012-04-23 2012-08-03
13 JPMorgan Asset Management (Asia Pacific) Limited Rep Asset management 2016-05-06 2016-07-25
14 GOLDMAN SACHS FUTURES (ASIA) LIMITED Rep Dealing in futures contracts 2010-07-07 2012-04-17
15 Halbis Capital Management (Hong Kong) Limited Rep Dealing in securities 2004-07-20 2004-08-30
16 HSBC INVESTMENT FUNDS (HONG KONG) LIMITED Rep Dealing in securities 2004-07-20 2004-09-09
17 GOLDMAN SACHS (ASIA) L.L.C. Rep Dealing in securities 2010-06-30 2012-04-17
18 Amundi Hong Kong Limited Rep Dealing in securities 2012-04-23 2012-08-03
19 AXA ROSENBERG INVESTMENT MANAGEMENT ASIA PACIFIC LIMITED RO Advising on corporate finance 2004-05-31
20 AXA Investment Managers Asia Limited RO Advising on futures contracts 2004-05-31
21 AXA ROSENBERG INVESTMENT MANAGEMENT ASIA PACIFIC LIMITED RO Advising on futures contracts 2004-05-31
22 HSBC Global Asset Management (Hong Kong) Limited RO Advising on futures contracts 2004-09-09 2010-06-18
23 HSBC Global Asset Management Holdings (Bahamas) Limited RO Advising on futures contracts 2004-09-09 2010-06-18
24 HSBC INVESTMENT FUNDS (HONG KONG) LIMITED RO Advising on futures contracts 2004-09-09 2010-06-18
25 Halbis Capital Management (Hong Kong) Limited RO Advising on futures contracts 2005-06-23 2010-06-18
26 JPMorgan Asset Management (Asia Pacific) Limited RO Advising on futures contracts 2018-08-07
27 AXA Investment Managers Asia Limited RO Advising on securities 2004-05-31
28 AXA ROSENBERG INVESTMENT MANAGEMENT ASIA PACIFIC LIMITED RO Advising on securities 2004-05-31
29 HSBC Global Asset Management (Hong Kong) Limited RO Advising on securities 2004-09-09 2010-06-18
30 HSBC Global Asset Management Holdings (Bahamas) Limited RO Advising on securities 2004-09-09 2010-06-18
31 HSBC INVESTMENT FUNDS (HONG KONG) LIMITED RO Advising on securities 2004-09-09 2010-06-18
32 Halbis Capital Management (Hong Kong) Limited RO Advising on securities 2005-06-23 2010-06-18
33 Amundi Hong Kong Limited RO Advising on securities 2012-08-03 2016-04-30
34 JPMorgan Asset Management (Asia Pacific) Limited RO Advising on securities 2016-07-25
35 AXA Investment Managers Asia Limited RO Asset management 2004-05-31
36 AXA ROSENBERG INVESTMENT MANAGEMENT ASIA PACIFIC LIMITED RO Asset management 2004-05-31
37 HSBC Global Asset Management (Hong Kong) Limited RO Asset management 2004-09-09 2010-06-18
38 HSBC Global Asset Management Holdings (Bahamas) Limited RO Asset management 2004-09-09 2010-06-18
39 HSBC INVESTMENT FUNDS (HONG KONG) LIMITED RO Asset management 2004-09-09 2010-06-18
40 Halbis Capital Management (Hong Kong) Limited RO Asset management 2005-06-23 2010-06-18
41 Amundi Hong Kong Limited RO Asset management 2012-08-03 2016-04-30
42 JPMorgan Asset Management (Asia Pacific) Limited RO Asset management 2016-07-25
43 AXA ROSENBERG INVESTMENT MANAGEMENT ASIA PACIFIC LIMITED RO Dealing in securities 2004-05-31
44 HSBC INVESTMENT FUNDS (HONG KONG) LIMITED RO Dealing in securities 2004-09-09 2010-06-18
45 Halbis Capital Management (Hong Kong) Limited RO Dealing in securities 2005-06-23 2010-06-18
46 HSBC Global Asset Management (Hong Kong) Limited RO Dealing in securities 2006-03-29 2010-06-18
47 Amundi Hong Kong Limited RO Dealing in securities 2012-08-03 2016-04-30

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