James Mark Stephan
This page summarises the Hong Kong Securities and Futures Commission (SFC) public register record for James Mark Stephan ( ), a licensed former licensee with CE reference AJD479. Total licence records on file: 2.
Licence history
| Firm | Role | Regulated activity | From | To |
|---|---|---|---|---|
| Barclays Capital Securities Asia Limited 巴克萊證券亞洲有限公司 |
Rep | Type 1 — Dealing in securities | 2003-12-10 | 2004-05-13 |
| Barclays Capital Futures Hong Kong Limited 巴克萊期貨香港有限公司 |
Rep | Type 2 — Dealing in futures contracts | 2003-12-10 | 2004-05-13 |