Lord, James Kenji
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 | Dealing in securities | 2013-02-26 | 2013-03-05 | Rep | Dealing in securities | 2015-06-29 | 2015-07-03 | Rep | Dealing in securities | 2017-02-07 | 2017-02-10 | Rep | Advising on futures contracts | 2018-03-06 | 2018-03-08 | Rep | Advising on securities | 2018-03-06 | 2018-03-08 | Rep | Dealing in securities | 2018-03-06 | 2018-03-08 | Rep | Advising on futures contracts | 2019-09-13 | 2019-09-18 | Rep | Advising on securities | 2019-09-13 | 2019-09-18 | Rep | Dealing in securities | 2019-09-13 | 2019-09-18 | Rep | Advising on futures contracts | 2023-03-01 | 2023-03-03 | Rep | Advising on securities | 2023-03-01 | 2023-03-03 | Rep | Dealing in securities | 2023-03-01 | 2023-03-03 | Rep | Advising on futures contracts | 2023-10-09 | 2023-10-12 | Rep | Advising on securities | 2023-10-09 | 2023-10-12 |
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