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MOREAU Nicolas Jean Marie Denis

CE AFB431Licensed IndividualResponsible OfficerSFO licence active
Official SFC record

MOREAU Nicolas Jean Marie Denis (CE number AFB431) is an individual licensed by the Hong Kong SFC. First licensed on 2021-12-15. Their SFC licence is currently active. Accredited for regulated activities Type 1 (Securities dealing), Type 4 (Advising on securities), Type 9 (Asset management). Currently a responsible officer at 2 firms.

Regulated Activities (on record) (3)

RA 1 Dealing in Securities
RA 4 Advising on Securities
RA 9 Asset Management

Roles & Accreditations (2)

CapacityCompany / Institution
Responsible OfficerHSBC Global Asset Management (Hong Kong) Limited
Responsible OfficerHSBC Investment Funds (Hong Kong) Limited

Licence Record (4)

2022-05-20 – present Current
HSBC Global Asset Management (Hong Kong) Limited RO
RA 1 RA 4 RA 9
2022-05-20 – present Current
HSBC Investment Funds (Hong Kong) Limited RO
RA 1 RA 4 RA 9
2021-12-15 – 2022-05-20
HSBC Global Asset Management (Hong Kong) Limited Rep
RA 1 RA 4 RA 9
2021-12-15 – 2022-05-20
HSBC Investment Funds (Hong Kong) Limited Rep
RA 1 RA 4 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/AFB431