Nicholas James
This page summarises the Hong Kong Securities and Futures Commission (SFC) public register record for Nicholas James ( ), a licensed former licensee with CE reference BGO846. Total licence records on file: 2.
Licence history
| Firm | Role | Regulated activity | From | To |
|---|---|---|---|---|
| Leonteq Securities (Hong Kong) Limited | Rep | Type 1 — Dealing in securities | 2015-12-08 | 2016-11-16 |
| Leonteq Securities (Hong Kong) Limited | Rep | Type 4 — Advising on securities | 2015-12-08 | 2016-11-16 |