Pearson, James (SFC:ABN229)
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 | Morgan Stanley Asia Limited | Rep | Advising on corporate finance | 2003-11-26 | Rep | Advising on securities | 2003-11-26 | Rep | Automated trading services | 2003-11-26 | Rep | Dealing in securities | 2003-11-26 |
| 2 | NOMURA INTERNATIONAL (HONG KONG) LIMITED | Rep | Advising on corporate finance | 2016-11-14 | 2019-04-04 | Rep | Advising on securities | 2016-11-14 | 2019-04-04 | Rep | Dealing in securities | 2016-11-14 | 2019-04-04 |
| 3 | RBS Asia Corporate Finance Limited | Rep | Advising on corporate finance | 2004-01-30 | 2004-07-15 | Rep | Dealing in securities | 2004-01-30 | 2004-07-15 | RO | Advising on corporate finance | 2004-07-15 | 2009-12-07 | RO | Dealing in securities | 2004-07-15 | 2009-12-07 |
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