James Campbell Oliver
This page summarises the Hong Kong Securities and Futures Commission (SFC) public register record for James Campbell Oliver ( ), a licensed former licensee with CE reference ARW738. Total licence records on file: 16.
Licence history
| Firm | Role | Regulated activity | From | To |
|---|---|---|---|---|
| Tullett Prebon (Hong Kong) Limited | RO | Type 1 — Dealing in securities | 2016-08-16 | 2017-02-21 |
| Tullett Prebon (Hong Kong) Limited | RO | Type 2 — Dealing in futures contracts | 2016-08-16 | 2017-02-16 |
| Tullett Prebon (Hong Kong) Limited | RO | Type 7 — Providing automated trading services | 2016-08-16 | 2017-02-21 |
| Tullett Prebon (Hong Kong) Limited | Rep | Type 1 — Dealing in securities | 2015-11-25 | 2016-08-16 |
| Tullett Prebon (Hong Kong) Limited | Rep | Type 2 — Dealing in futures contracts | 2015-11-25 | 2016-08-16 |
| Marex HK Asia Limited |
RO | Type 1 — Dealing in securities | 2014-11-20 | 2015-10-14 |
| SG Asset Finance (Hong Kong) Limited | Rep | Type 1 — Dealing in securities | 2012-11-23 | 2014-06-28 |
| Newedge Broker Hong Kong Limited 新際經紀香港有限公司 |
Rep | Type 2 — Dealing in futures contracts | 2012-11-23 | 2014-06-28 |
| SG Asset Finance (Hong Kong) Limited | Rep | Type 2 — Dealing in futures contracts | 2012-11-23 | 2014-06-28 |
| ICAP Equities Asia Limited | Rep | Type 1 — Dealing in securities | 2011-04-01 | 2012-10-24 |
| SG Asset Finance (Hong Kong) Limited | Rep | Type 1 — Dealing in securities | 2008-11-26 | 2011-03-02 |
| Newedge Broker Limited 新際經紀有限公司 |
Rep | Type 1 — Dealing in securities | 2008-11-26 | 2009-07-31 |
| Newedge Broker Hong Kong Limited 新際經紀香港有限公司 |
Rep | Type 2 — Dealing in futures contracts | 2008-11-26 | 2011-03-02 |
| SG Asset Finance (Hong Kong) Limited | Rep | Type 2 — Dealing in futures contracts | 2008-11-26 | 2011-03-02 |
| Newedge Broker Limited 新際經紀有限公司 |
Rep | Type 2 — Dealing in futures contracts | 2008-11-26 | 2009-07-31 |
| Newedge Broker Limited 新際經紀有限公司 |
Rep | Type 7 — Providing automated trading services | 2008-11-26 | 2009-07-31 |