James Vincent Cheng
This page summarises the Hong Kong Securities and Futures Commission (SFC) public register record for James Vincent Cheng, a licensed Representative with CE reference AIC014. Currently licensed at 1 firm(s): Capital International, Inc.. Active regulated activities: Type 1 — Dealing in securities; Type 9 — Asset management. Total licence records on file: 8.
Licence history
| Firm | Role | Regulated activity | From | To |
|---|---|---|---|---|
| Capital International, Inc. |
Rep | Type 1 — Dealing in securities | 2017-08-28 | present |
| Capital International, Inc. |
Rep | Type 9 — Asset management | 2014-07-02 | present |
| Capital Research Company | Rep | Type 9 — Asset management | 2006-04-19 | 2014-07-02 |
| Credit Agricole Securities (Asia) Limited 東方匯理證券(亞洲)有限公司 |
Rep | Type 1 — Dealing in securities | 2004-05-11 | 2006-02-25 |
| UBS Securities Asia Limited | Rep | Type 1 — Dealing in securities | present | 2004-04-29 |
| UBS Securities Asia Limited | Rep | Type 4 — Advising on securities | present | 2004-04-29 |
| UBS Securities Asia Limited | Rep | Type 6 — Advising on corporate finance | present | 2004-04-29 |
| UBS Securities Asia Limited | Rep | Type 9 — Asset management | present | 2004-04-29 |