Paterson, James Willock
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 | CITIC Securities CLSA Capital Partners (HK) Limited | Rep | Advising on corporate finance | 2005-11-02 | 2006-01-30 | Rep | Advising on securities | 2005-11-02 | 2006-01-30 | Rep | Asset management | 2005-11-02 | 2006-01-30 |
| 2 | CLSA LIMITED | Rep | Advising on corporate finance | 2004-03-18 | Rep | Asset management | 2004-03-18 | Rep | Advising on securities | 2005-09-29 | Rep | Advising on securities | 2006-02-10 | 2006-09-12 | Rep | Dealing in securities | 2006-02-10 | 2007-03-09 | RO | Dealing in securities | 2007-03-09 | 2012-10-10 | Rep | Dealing in securities | 2012-10-10 | 2014-11-01 |
| 3 | CLSA RESEARCH LIMITED | RO | Advising on securities | 2009-05-08 | 2013-02-26 |
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