James Stephen Graham
This page summarises the Hong Kong Securities and Futures Commission (SFC) public register record for James Stephen Graham ( ), a licensed former licensee with CE reference AJD815. Total licence records on file: 6.
Licence history
| Firm | Role | Regulated activity | From | To |
|---|---|---|---|---|
| Asia Pacific Investment Advisors Limited |
Rep | Type 4 — Advising on securities | 2010-05-03 | 2015-06-15 |
| Asia Pacific Investment Advisors Limited |
Rep | Type 9 — Asset management | 2010-05-03 | 2015-06-15 |
| UKFP (Asia) HK Limited | Rep | Type 1 — Dealing in securities | 2007-05-25 | 2007-12-31 |
| CBH Asia Limited 瑞金亞洲有限公司 |
Rep | Type 4 — Advising on securities | 2004-10-11 | 2005-11-30 |
| UKFP (Asia) HK Limited | Rep | Type 1 — Dealing in securities | 2003-11-05 | 2004-08-16 |
| UKFP (Asia) HK Limited | Rep | Type 4 — Advising on securities | 2003-11-05 | 2004-08-16 |