John Michael Leslie Duffield
This page summarises the Hong Kong Securities and Futures Commission (SFC) public register record for John Michael Leslie Duffield ( ), a licensed former licensee with CE reference AIP443. Total licence records on file: 5.
Licence history
| Firm | Role | Regulated activity | From | To |
|---|---|---|---|---|
| SG Asset Finance (Hong Kong) Limited | RO | Type 1 — Dealing in securities | 2008-08-28 | 2009-08-10 |
| Newedge Broker Limited 新際經紀有限公司 |
RO | Type 1 — Dealing in securities | 2008-08-28 | 2009-07-31 |
| Newedge Broker Limited 新際經紀有限公司 |
Rep | Type 7 — Providing automated trading services | 2006-02-03 | 2009-07-31 |
| Newedge Broker Limited 新際經紀有限公司 |
Rep | Type 1 — Dealing in securities | 2006-01-27 | 2008-08-28 |
| BGC Securities (Hong Kong) LLC |
RO | Type 1 — Dealing in securities | 2004-03-11 | 2005-12-15 |