Simmons, James Alexander
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 | ENHANCED INVESTMENT PRODUCTS LIMITED | Rep | Advising on futures contracts | 2007-06-11 | 2007-08-17 | Rep | Advising on securities | 2007-06-11 | 2007-08-17 | Rep | Asset management | 2007-06-11 | 2007-08-17 | Rep | Advising on futures contracts | 2010-07-08 | 2012-07-31 | Rep | Advising on securities | 2010-07-08 | 2012-07-31 | Rep | Asset management | 2010-07-08 | 2012-07-31 |
| 2 | GIGA (HONG KONG) LIMITED | Rep | Asset management | 2008-04-10 | 2010-04-16 | Rep | Advising on securities | 2008-04-21 | 2010-04-16 |
| 3 | HSBC SECURITIES BROKERS (ASIA) LIMITED | Rep | Dealing in securities | 2015-08-18 | 2021-07-08 |
| 4 | PINE RIVER CAPITAL MANAGEMENT (HK) LIMITED | Rep | Asset management | 2007-10-08 | 2008-03-10 |
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