Richard Mark Anthony Bamber
This page summarises the Hong Kong Securities and Futures Commission (SFC) public register record for Richard Mark Anthony Bamber ( ), a licensed former licensee with CE reference AGM551. Total licence records on file: 20.
Licence history
| Firm | Role | Regulated activity | From | To |
|---|---|---|---|---|
| Bell Potter Securities (HK) Limited |
RO | Type 1 — Dealing in securities | 2012-10-29 | 2012-12-31 |
| BOCI Research Limited 中銀國際研究有限公司 |
RO | Type 4 — Advising on securities | 2010-07-20 | 2011-06-11 |
| BOCI Securities Limited 中銀國際證券有限公司 |
RO | Type 1 — Dealing in securities | 2010-03-19 | 2011-06-11 |
| BOCI Securities Limited 中銀國際證券有限公司 |
Rep | Type 1 — Dealing in securities | 2010-01-08 | 2010-03-19 |
| Horizon21 (Hong Kong) Limited | RO | Type 4 — Advising on securities | 2008-06-30 | 2009-02-28 |
| J.P. Morgan Broking (Hong Kong) Limited | Rep | Type 2 — Dealing in futures contracts | 2003-12-06 | 2006-02-03 |
| J.P. Morgan Broking (Hong Kong) Limited | Rep | Type 5 — Advising on futures contracts | 2003-12-06 | 2006-02-03 |
| J.P. Morgan Securities (Far East) Limited | Rep | Type 4 — Advising on securities | 2003-09-17 | 2006-02-03 |
| J.P. Morgan Broking (Hong Kong) Limited | Rep | Type 1 — Dealing in securities | present | 2006-02-03 |
| J.P. Morgan Securities (Far East) Limited | Rep | Type 1 — Dealing in securities | present | 2006-02-03 |
| J.P. Morgan Futures Hong Kong Limited |
Rep | Type 2 — Dealing in futures contracts | present | 2003-12-06 |
| J.P. Morgan Broking (Hong Kong) Limited | Rep | Type 4 — Advising on securities | present | 2006-02-03 |
| J.P. Morgan Futures Hong Kong Limited |
Rep | Type 5 — Advising on futures contracts | present | 2003-12-06 |
| J.P. Morgan Broking (Hong Kong) Limited | Rep | Type 6 — Advising on corporate finance | present | 2003-09-13 |
| J.P. Morgan Securities (Far East) Limited | Rep | Type 6 — Advising on corporate finance | present | 2003-09-13 |
| J.P. Morgan Securities (Far East) Limited | Rep | Type 7 — Providing automated trading services | present | 2005-02-15 |
| J.P. Morgan Broking (Hong Kong) Limited | Rep | Type 7 — Providing automated trading services | present | 2003-09-13 |
| J.P. Morgan Futures Hong Kong Limited |
Rep | Type 7 — Providing automated trading services | present | 2003-09-13 |
| J.P. Morgan Broking (Hong Kong) Limited | Rep | Type 9 — Asset management | present | 2003-09-13 |
| J.P. Morgan Futures Hong Kong Limited |
Rep | Type 9 — Asset management | present | 2003-09-13 |