Thomas Christopher Harris
This page summarises the Hong Kong Securities and Futures Commission (SFC) public register record for Thomas Christopher Harris ( ), a licensed former licensee with CE reference AGZ861. Total licence records on file: 9.
Licence history
| Firm | Role | Regulated activity | From | To |
|---|---|---|---|---|
| J.P. Morgan Securities (Far East) Limited | Rep | Type 4 - Advising on securities | 2003-09-17 | 2004-11-01 |
| J.P. Morgan Broking (Hong Kong) Limited | Rep | Type 1 - Dealing in securities | present | 2004-11-01 |
| J.P. Morgan Securities (Far East) Limited | Rep | Type 1 - Dealing in securities | present | 2004-11-01 |
| J.P. Morgan Broking (Hong Kong) Limited | Rep | Type 4 - Advising on securities | present | 2004-11-01 |
| 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 | 2004-11-01 |
| J.P. Morgan Broking (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 |