Moss, James Thomas
SFC licenses
Rep=Representative, RO=Responsible Officer. A person without a starting date was in that role since at least 1-Apr-2003 when the current register began.
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| Organisation | Role | Activity | From | Until | |
|---|---|---|---|---|---|
| 1 | CLSA RESEARCH LIMITED | Rep | Advising on securities | 2007-05-21 | 2012-02-22 |
| 2 | HSBC SECURITIES (ASIA) LIMITED | Rep | Advising on securities | 2003-08-01 | 2004-04-26 |
| 3 | NOMURA INTERNATIONAL (HONG KONG) LIMITED | Rep | Advising on securities | 2012-08-10 | 2013-11-01 |
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