James Russell Walker
This page summarises the Hong Kong Securities and Futures Commission (SFC) public register record for James Russell Walker ( ), a licensed former licensee with CE reference AAB473. Total licence records on file: 4.
Licence history
| Firm | Role | Regulated activity | From | To |
|---|---|---|---|---|
| CLSA Limited 中信里昂證券有限公司 |
RO | Type 1 — Dealing in securities | present | 2004-02-24 |
| CLSA Limited 中信里昂證券有限公司 |
RO | Type 4 — Advising on securities | present | 2004-02-24 |
| CLSA Limited 中信里昂證券有限公司 |
RO | Type 6 — Advising on corporate finance | present | 2004-02-24 |
| CLSA Limited 中信里昂證券有限公司 |
RO | Type 9 — Asset management | present | 2004-02-24 |