O'Neile, James Finlay
SFC licenses
Rep=Representative, RO=Responsible Officer. A person without a starting date was in that role since at least 1-Apr-2003 when the current register began.
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| Organisation | Role | Activity | From | Until | |
|---|---|---|---|---|---|
| 1 | GSA Capital Partners (Hong Kong) Limited | RO | Asset management | 2018-05-02 | 2019-10-21 | RO | Dealing in securities | 2018-05-02 | 2019-10-21 |
| 2 | Nomura Asia Investment (Hong Kong) Limited | Rep | Dealing in futures contracts | 2005-03-21 | 2010-02-19 |
| 3 | NOMURA INTERNATIONAL (HONG KONG) LIMITED | Rep | Dealing in futures contracts | 2005-03-21 | 2017-07-20 | Rep | Dealing in securities | 2005-03-21 | 2017-07-20 | Rep | Advising on securities | 2009-03-09 | 2017-07-20 | Rep | Dealing in futures contracts | 2021-09-27 | Rep | Advising on securities | 2021-09-27 | 2022-10-25 | Rep | Dealing in securities | 2021-09-27 | 2022-10-25 | RO | Advising on securities | 2022-10-25 | RO | Dealing in securities | 2022-10-25 |
| 4 | NOMURA SECURITIES (HONG KONG) LIMITED | Rep | Dealing in futures contracts | 2010-02-04 | 2013-04-23 |
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