James Patrick Carroll
This page summarises the Hong Kong Securities and Futures Commission (SFC) public register record for James Patrick Carroll ( ), a licensed former licensee with CE reference AIU524. Total licence records on file: 3.
Licence history
| Firm | Role | Regulated activity | From | To |
|---|---|---|---|---|
| Macquarie Capital Limited 麥格理資本股份有限公司 |
Rep | Type 4 - Advising on securities | 2003-10-23 | 2004-08-12 |
| Macquarie Capital Limited 麥格理資本股份有限公司 |
Rep | Type 1 - Dealing in securities | 2003-05-21 | 2003-10-23 |
| Macquarie Capital Limited 麥格理資本股份有限公司 |
Rep | Type 7 - Providing automated trading services | 2003-05-21 | 2003-10-23 |