James Thomas Ramsay
This page summarises the Hong Kong Securities and Futures Commission (SFC) public register record for James Thomas Ramsay ( ), a licensed former licensee with CE reference AVD143. Total licence records on file: 15.
Licence history
| Firm | Role | Regulated activity | From | To |
|---|---|---|---|---|
| JIUZE Capital Management Limited 九澤資本管理有限公司 |
RO | Type 4 — Advising on securities | 2024-08-20 | 2025-03-31 |
| JIUZE Capital Management Limited 九澤資本管理有限公司 |
RO | Type 9 — Asset management | 2024-08-20 | 2025-03-31 |
| HZ CAPITAL LIMITED | RO | Type 5 — Advising on futures contracts | 2019-05-24 | 2024-04-30 |
| HZ CAPITAL LIMITED | RO | Type 4 — Advising on securities | 2019-03-22 | 2024-04-30 |
| HZ CAPITAL LIMITED | RO | Type 9 — Asset management | 2019-03-22 | 2024-04-30 |
| HZ CAPITAL LIMITED | Rep | Type 4 — Advising on securities | 2019-03-18 | 2019-03-22 |
| HZ CAPITAL LIMITED | Rep | Type 9 — Asset management | 2019-03-18 | 2019-03-22 |
| Yuen Shing Capital Limited 元盛資本有限公司 |
RO | Type 4 — Advising on securities | 2018-08-17 | 2019-01-12 |
| Yuen Shing Capital Limited 元盛資本有限公司 |
RO | Type 9 — Asset management | 2018-08-17 | 2019-01-12 |
| Hong Kong Securities (International) Company Limited 香港證券(國際)有限公司 |
RO | Type 4 — Advising on securities | 2016-02-05 | 2017-12-29 |
| Hong Kong Securities (International) Company Limited 香港證券(國際)有限公司 |
RO | Type 9 — Asset management | 2016-02-05 | 2017-12-29 |
| Sheng Yuan Sino Asset Management Limited 盛源中港資產管理有限公司 |
RO | Type 4 — Advising on securities | 2015-12-01 | 2016-02-04 |
| Sheng Yuan Sino Asset Management Limited 盛源中港資產管理有限公司 |
RO | Type 9 — Asset management | 2015-12-01 | 2016-02-04 |
| Sheng Yuan Sino Asset Management Limited 盛源中港資產管理有限公司 |
Rep | Type 9 — Asset management | 2010-07-20 | 2015-12-01 |
| Sheng Yuan Sino Asset Management Limited 盛源中港資產管理有限公司 |
Rep | Type 4 — Advising on securities | 2010-05-31 | 2015-12-01 |