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. This person has 6.7 years of SFC licence history. Total licence records on file: 3.
Information
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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 |
Worked alongside
The 20 closest colleagues, strongest tie first — individuals licensed at the same firm as James Thomas Moss during overlapping periods. Ranked by how long they overlapped and how similar their regulated activities were, with shared time at a smaller firm weighted more than at a large one. See the detailed formula.