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SWEENEY Kirk Chester

CE AAN604Licensed IndividualResponsible OfficerSFO licence active
Official SFC record

SWEENEY Kirk Chester (CE number AAN604) is an individual licensed by the Hong Kong SFC. First licensed on 2003-04-01. Their SFC licence is currently active. Accredited for regulated activities Type 1 (Securities dealing), Type 2 (Futures dealing), Type 4 (Advising on securities), Type 6 (Corporate finance), Type 7 (Automated trading), Type 9 (Asset management). Currently a responsible officer at 3 firms.

Regulated Activities (on record) (6)

RA 1 Dealing in Securities
RA 2 Dealing in Futures Contracts
RA 4 Advising on Securities
RA 6 Advising on Corporate Finance
RA 7 Providing Automated Trading Services
RA 9 Asset Management

Roles & Accreditations (3)

CapacityCompany / Institution
Responsible OfficerMetLife Investments Asia Limited
Responsible OfficerPineBridge Investments Asia Limited
柏瑞投資亞洲有限公司
Responsible OfficerPineBridge Investments Hong Kong Limited
柏瑞投資香港有限公司

Licence Record (14)

2026-02-27 – present Current
MetLife Investments Asia Limited RO
RA 1 RA 4 RA 9
2022-03-15 – present Current
PineBridge Investments Asia Limited RO
RA 1 RA 4 RA 9
2022-03-15 – present Current
PineBridge Investments Hong Kong Limited RO
RA 1 RA 9
2020-07-03 – 2021-12-10
ExodusPoint Capital Management Hong Kong, Limited RO
RA 9
2020-04-02 – 2020-07-03
ExodusPoint Capital Management Hong Kong, Limited Rep
RA 9
2019-05-23 – 2020-01-05
Ortus Capital Management Limited RO
RA 9
2019-03-08 – 2019-05-23
Ortus Capital Management Limited Rep
RA 9
2013-10-04 – 2019-01-31
Millennium Capital Management (Hong Kong) Limited RO
RA 9
2011-05-12 – 2013-05-13
Barclays Capital Asia Limited RO
RA 1 RA 2 RA 6
2010-02-12 – 2013-05-13
Barclays Capital Asia Limited Rep
RA 1 RA 2 RA 4 RA 6
2008-10-10 – 2009-09-19
Nomura International (Hong Kong) Limited Rep
RA 1 RA 2 RA 4 RA 6
2003-04-01 – 2008-09-29
Lehman Brothers Asia Limited RO
RA 1 RA 2 RA 4 RA 6 RA 7 RA 9
2003-04-01 – 2008-09-29
Lehman Brothers Securities Asia Limited RO
RA 1 RA 4 RA 6 RA 7 RA 9
2003-04-01 – 2008-09-29
Lehman Brothers Futures Asia Limited RO
RA 2 RA 7

Source: SFC, HKMA and other public regulatory records · Unofficial — this site is NOT the SFC, for reference only
Official record：apps.sfc.hk publicregWeb · JSON API：/api/indi/AAN604