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RICHARDSON Alan Jack Newman

CE AEI864Licensed IndividualResponsible OfficerSFO licence active
Official SFC record

RICHARDSON Alan Jack Newman (CE number AEI864) 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 4 (Advising on securities), Type 5 (Advising on futures), Type 6 (Corporate finance), Type 9 (Asset management). Currently a responsible officer at 1 firm.

Regulated Activities (on record) (4)

RA 4 Advising on Securities
RA 5 Advising on Futures Contracts
RA 6 Advising on Corporate Finance
RA 9 Asset Management

Roles & Accreditations (1)

CapacityCompany / Institution
Responsible OfficerSamsung Asset Management (Hong Kong) Limited
三星資產運用(香港)有限公司

Licence Record (6)

2024-08-09 – present Current
Samsung Asset Management (Hong Kong) Limited RO
RA 4 RA 9
2013-02-28 – 2024-08-09
Samsung Asset Management (Hong Kong) Limited Rep
RA 4 RA 9
2007-02-07 – 2008-10-11
RCM Asia Pacific Limited Rep
RA 9
2006-11-15 – 2008-10-11
Allianz Global Investors Hong Kong Limited Rep
RA 9
2003-04-01 – 2006-11-14
Baring Asset Management (Asia) Limited Rep
RA 4 RA 5 RA 6 RA 9
2003-04-01 – 2003-08-18
Biz Corp Limited Rep
RA 4 RA 6 RA 9

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/AEI864