James Thomas Moss
This page summarises the Hong Kong Securities and Futures Commission (SFC) public register record for James Thomas Moss ( ), a licensed former licensee with CE reference AJC737. Total licence records on file: 3.
Licence history
| Firm | Role | Regulated activity | From | To |
|---|---|---|---|---|
| Nomura International (Hong Kong) Limited 野村國際(香港)有限公司 |
Rep | Type 4 - Advising on securities | 2012-08-10 | 2013-11-01 |
| CLSA Research Limited 里昂證券投資研究有限公司 |
Rep | Type 4 - Advising on securities | 2007-05-21 | 2012-02-22 |
| HSBC Securities (Asia) Limited | Rep | Type 4 - Advising on securities | 2003-08-01 | 2004-04-26 |