Newman, James Shields
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 | AT Asset Management (Asia-Pacific) Limited | Rep | Asset management | 2007-04-02 | 2007-06-25 | RO | Asset management | 2007-06-25 | 2008-08-01 |
| 2 | DORIC CAPITAL CORPORATION | Rep | Advising on futures contracts | 2004-03-02 | 2004-09-30 | Rep | Advising on securities | 2004-03-02 | 2004-09-30 | Rep | Asset management | 2004-03-02 | 2004-09-30 |
| 3 | Legg Mason Asset Management Hong Kong Limited | RO | Advising on futures contracts | 2004-01-31 | RO | Advising on securities | 2004-01-31 | RO | Asset management | 2004-01-31 |
| 4 | Legg Mason International Equities (Hong Kong) Limited | Rep | Advising on corporate finance | 2004-01-31 | Rep | Dealing in securities | 2004-01-31 | RO | Advising on futures contracts | 2004-01-31 | RO | Advising on securities | 2004-01-31 | RO | Asset management | 2004-01-31 |
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