Levy, James Samuel

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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 Halbis Capital Management (Hong Kong) Limited Rep Advising on securities 2011-03-08 2011-08-17
Rep Dealing in futures contracts 2011-03-08 2011-08-17
Rep Dealing in securities 2011-03-08 2011-08-17
Rep Asset management 2011-03-08 2011-12-31
RO Advising on securities 2011-08-17 2011-12-31
RO Dealing in futures contracts 2011-08-17 2011-12-31
RO Dealing in securities 2011-08-17 2011-12-31
2 HSBC Global Asset Management (Hong Kong) Limited Rep Advising on securities 2011-03-08 2011-08-17
Rep Dealing in futures contracts 2011-03-08 2011-08-17
Rep Dealing in securities 2011-03-08 2011-08-17
Rep Asset management 2011-03-08 2021-10-06
RO Advising on securities 2011-08-17 2012-03-16
RO Dealing in securities 2011-08-17 2012-03-16
RO Dealing in futures contracts 2011-08-17 2021-10-06
Rep Advising on securities 2012-03-16 2012-06-12
Rep Dealing in securities 2012-03-16 2012-06-12
RO Advising on securities 2012-06-12 2021-10-06
RO Dealing in securities 2012-06-12 2021-10-06
3 HSBC INVESTMENT FUNDS (HONG KONG) LIMITED Rep Dealing in securities 2011-03-08 2011-08-17
RO Dealing in securities 2011-08-17 2012-03-16
Rep Dealing in securities 2012-03-16 2012-06-12
RO Dealing in securities 2012-06-12 2021-10-06

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