Crispin, James Anthony
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 | HSBC SECURITIES (ASIA) LIMITED | RO | Dealing in securities | 2009-02-16 | 2010-04-29 |
| 2 | HSBC SECURITIES BROKERS (ASIA) LIMITED | Rep | Dealing in securities | 2006-08-18 | 2009-02-16 | RO | Dealing in securities | 2009-02-16 | 2010-04-29 |
| 3 | J.P. MORGAN BROKING (HONG KONG) LIMITED | Rep | Advising on futures contracts | 2010-07-05 | 2013-02-01 | Rep | Advising on securities | 2010-07-05 | 2013-02-01 | Rep | Dealing in futures contracts | 2010-07-05 | 2013-02-01 | Rep | Dealing in securities | 2010-07-05 | 2013-02-01 |
| 4 | Sanford C. Bernstein (Hong Kong) Limited | Rep | Advising on securities | 2013-05-13 | 2018-10-05 | Rep | Dealing in securities | 2013-05-13 | 2018-10-05 |
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