James Willock Paterson
This page summarises the Hong Kong Securities and Futures Commission (SFC) public register record for James Willock Paterson ( ), a licensed former licensee with CE reference ADA085. Total licence records on file: 11.
Licence history
| Firm | Role | Regulated activity | From | To |
|---|---|---|---|---|
| CLSA Limited 中信里昂證券有限公司 |
Rep | Type 1 — Dealing in securities | 2012-10-10 | 2014-11-01 |
| CLSA Research Limited 里昂證券投資研究有限公司 |
RO | Type 4 — Advising on securities | 2009-05-08 | 2013-02-26 |
| CLSA Limited 中信里昂證券有限公司 |
RO | Type 1 — Dealing in securities | 2007-03-09 | 2012-10-10 |
| CLSA Limited 中信里昂證券有限公司 |
Rep | Type 1 — Dealing in securities | 2006-02-10 | 2007-03-09 |
| CLSA Limited 中信里昂證券有限公司 |
Rep | Type 4 — Advising on securities | 2006-02-10 | 2006-09-12 |
| CITIC CLSA Capital Partners HK Limited 中信證券國際資本(香港)有限公司 |
Rep | Type 4 — Advising on securities | 2005-11-02 | 2006-01-30 |
| CITIC CLSA Capital Partners HK Limited 中信證券國際資本(香港)有限公司 |
Rep | Type 6 — Advising on corporate finance | 2005-11-02 | 2006-01-30 |
| CITIC CLSA Capital Partners HK Limited 中信證券國際資本(香港)有限公司 |
Rep | Type 9 — Asset management | 2005-11-02 | 2006-01-30 |
| CLSA Limited 中信里昂證券有限公司 |
Rep | Type 4 — Advising on securities | present | 2005-09-29 |
| CLSA Limited 中信里昂證券有限公司 |
Rep | Type 6 — Advising on corporate finance | present | 2004-03-18 |
| CLSA Limited 中信里昂證券有限公司 |
Rep | Type 9 — Asset management | present | 2004-03-18 |