Levy, James Samuel
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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