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KNOWLES Brian Michael

CE AXI592Licensed IndividualSFO licence active
Official SFC record

KNOWLES Brian Michael (CE number AXI592) is an individual licensed by the Hong Kong SFC. First licensed on 2011-05-30. Their SFC licence is currently active. Accredited for regulated activities Type 1 (Securities dealing), Type 2 (Futures dealing), Type 4 (Advising on securities), Type 7 (Automated trading), Type 9 (Asset management).

Regulated Activities (on record) (5)

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

Roles & Accreditations (1)

CapacityCompany / Institution
RepresentativeValliance Asset Management Limited

Licence Record (3)

2022-07-22 – 2026-04-30
BlackRock Asset Management North Asia Limited Rep
RA 1 RA 4
2011-05-30 – 2022-01-14
Morgan Stanley Asia Limited Rep
RA 1 RA 7
2011-05-30 – 2022-01-14
Morgan Stanley Hong Kong Securities Limited Rep
RA 1 RA 2

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/AXI592