James Pearson
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
| Firm | Role | Regulated activity | From | To |
|---|---|---|---|---|
| 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 |