James Pearson

CE No. ABN229 Ceased

This page summarises the Hong Kong Securities and Futures Commission (SFC) public register record for James Pearson (), a licensed former licensee with CE reference ABN229. Total licence records on file: 11.

Licence history

FirmRoleRegulated activityFromTo
Nomura International (Hong Kong) Limited
野村國際(香港)有限公司
Rep Type 1 — Dealing in securities 2016-11-14 2019-04-04
Nomura International (Hong Kong) Limited
野村國際(香港)有限公司
Rep Type 4 — Advising on securities 2016-11-14 2019-04-04
Nomura International (Hong Kong) Limited
野村國際(香港)有限公司
Rep Type 6 — Advising on corporate finance 2016-11-14 2019-04-04
RBS Asia Corporate Finance Limited
蘇皇融資亞洲有限公司
RO Type 1 — Dealing in securities 2004-07-15 2009-12-07
RBS Asia Corporate Finance Limited
蘇皇融資亞洲有限公司
RO Type 6 — Advising on corporate finance 2004-07-15 2009-12-07
RBS Asia Corporate Finance Limited
蘇皇融資亞洲有限公司
Rep Type 1 — Dealing in securities 2004-01-30 2004-07-15
RBS Asia Corporate Finance Limited
蘇皇融資亞洲有限公司
Rep Type 6 — Advising on corporate finance 2004-01-30 2004-07-15
Morgan Stanley Asia Limited
摩根士丹利亞洲有限公司
Rep Type 1 — Dealing in securities present 2003-11-26
Morgan Stanley Asia Limited
摩根士丹利亞洲有限公司
Rep Type 4 — Advising on securities present 2003-11-26
Morgan Stanley Asia Limited
摩根士丹利亞洲有限公司
Rep Type 6 — Advising on corporate finance present 2003-11-26
Morgan Stanley Asia Limited
摩根士丹利亞洲有限公司
Rep Type 7 — Providing automated trading services present 2003-11-26

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