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SWAN Andrew Warren

CE ALI156Licensed IndividualSFO licence active
Official SFC record

SWAN Andrew Warren (CE number ALI156) is an individual licensed by the Hong Kong SFC. First licensed on 2004-11-01. Their SFC licence is currently active. Accredited for regulated activities Type 1 (Securities dealing), Type 4 (Advising on securities), Type 5 (Advising on futures), Type 9 (Asset management).

Regulated Activities (on record) (4)

RA 1 Dealing in Securities
RA 4 Advising on Securities
RA 5 Advising on Futures Contracts
RA 9 Asset Management

Roles & Accreditations (1)

CapacityCompany / Institution
RepresentativeMan Investments (Hong Kong) Limited
英仕曼投資(香港)有限公司

Licence Record (7)

2023-10-03 – present Current
Man Investments (Hong Kong) Limited Rep
RA 1 RA 4 RA 9
2020-07-27 – 2023-10-02
GLG Partners Hong Kong Limited Rep
RA 1 RA 4 RA 9
2012-07-31 – 2020-04-02
BlackRock Asset Management North Asia Limited RO
RA 1 RA 4 RA 9
2012-01-04 – 2014-12-31
BlackRock (Hong Kong) Limited RO
RA 1 RA 4 RA 9
2011-08-15 – 2012-01-04
BlackRock (Hong Kong) Limited Rep
RA 1 RA 4 RA 9
2004-11-01 – 2011-05-20
JF International Management Inc. Rep
RA 4 RA 9
2004-11-01 – 2011-05-20
JPMorgan Asset Management (Asia Pacific) Limited Rep
RA 4 RA 5 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/ALI156