James Anthony Dore
This page summarises the Hong Kong Securities and Futures Commission (SFC) public register record for James Anthony Dore ( ), a licensed former licensee with CE reference AML303. Total licence records on file: 9.
Licence history
| Firm | Role | Regulated activity | From | To |
|---|---|---|---|---|
| 1020 Capital Management Limited |
RO | Type 9 — Asset management | 2021-08-18 | 2025-05-20 |
| 1020 Capital Management Limited |
Rep | Type 9 — Asset management | 2021-03-15 | 2021-08-18 |
| Macquarie Capital Limited 麥格理資本股份有限公司 |
Rep | Type 1 — Dealing in securities | 2013-12-04 | 2014-06-12 |
| Macquarie Capital Limited 麥格理資本股份有限公司 |
Rep | Type 1 — Dealing in securities | 2008-08-11 | 2012-11-30 |
| Macquarie Asia Securities Limited |
Rep | Type 2 — Dealing in futures contracts | 2007-08-13 | 2014-06-12 |
| Macquarie Equities (Asia) Limited 麥格理證券(亞洲)有限公司 |
Rep | Type 1 — Dealing in securities | 2006-10-09 | 2009-04-24 |
| Investec Asia Limited |
RO | Type 1 — Dealing in securities | 2006-05-16 | 2006-09-08 |
| Investec Asia Limited |
Rep | Type 1 — Dealing in securities | 2006-04-04 | 2006-05-16 |
| Investec Asset Management Asia Limited 天達資產管理亞洲有限公司 |
Rep | Type 1 — Dealing in securities | 2005-09-12 | 2006-04-01 |